THE DANISH MINISTRY OF ENVIRONMENT AND ENERGY

DANISH ENVIRONMENTAL ASSISTANCE ANDENVIRONMENTAL CONVENTIONS

Synergy and Prioritised Action Areas

March 2001

DANCEA - Danish Cooperation for Environment in the ArcticDANCED - Danish Cooperation for Environment and DevelopmentDANCEE - Danish Cooperation for Environment in Eastern Europe

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Danish Ministry of Environment and EnergyDanish Environmental Protection Agency

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Publisher:Danish Ministry of Environment and EnergyEnvironmental Protection Agency, Strandgade 29,DK-1401 Copenhagen KTelephone: +45 3266 0010, telefax: +45 3266 0479 Year of Publication:2001Title:Danish Environmental Assistance and Global Conventions.Synergy and Prioritised Action AreasTranslation:Mohan M. Mathews and Erwin Van den EedeDANCED, Danish Ministry of Environment and Energyand Access TranslationsEdited by:Erwin Van den Eede, DANCEDContributors:Julie Becher, Olaf Christiani, Sofie H Flensborg, Dinne S Hansen, Einar H Jensen,Eva Jensen, Peter Jørgensen, Dorte-Pia Kristoffersen, Bent Anker Nielsen,Niels Kurt Nielsen, Helle Petersen, Peter Pouplier, Christian Pripp,Ulla Vestergaard Rasmussen, Ditte Sakse, Annette Schneider, Lone Schou,Erwin Van den EedeAbstract:This report describes the ministry’s plans for enhancingcoherence between international environmental agreementsand Danish environmental assistance. A number of prioritisedaction areas are highlighted. The report briefly describes theprioritised environmental conventions and provides options forfuture environmental assistance.Terms:Convention, DANCED, DANCEE, DANCEA, Environmental assistance.

Supplementary notes:

Cover photo:Blid Alsbirk

Number of pages:76

Number of copies:1000

ISBN: yy-zzzz-xxx-a

Printed by:Frederiksberg Bogtrykkeri

Price:Free of charge

Distributed by:Miljøbutikken, Læderstræde 1-3, 1201 København KTelephone: +45 3337 9292, telefax: +45 3392 7690, e-mail:butik@mem.dkReproduction is authorised provided the source is acknowledged.Printed on 100% recycled paper Cyclus

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TABLE OF CONTENTS

ABBREVIATIONS ............................................................................................................................6

FOREWORD......................................................................................................................................7

1. INTRODUCTION..........................................................................................................................8

2. PRIORITISED ACTION AREAS.............................................................................................10

2.1 OPPORTUNITIES FOR BETTER COHERENCE BETWEEN INTERNATIONALAGREEMENTS AND ENVIRONMENTAL ASSISTANCE ..................................................102.2 ENVIRONMENTAL PROBLEMS, ENVIRONMENTAL CONVENTIONS ANDENVIRONMENTAL ASSISTANCE .................................................................................11

3. PARTNER COUNTRIES............................................................................................................14

3.1. DANISH ENVIRONMENTAL ASSISTANCE UNDER THE AUSPICES OF THEMINISTRY ..................................................................................................................143.2 ENVIRONMENTAL ASSISTANCE FOR DEVELOPING COUNTRIES – DANCED ....143.3 ENVIRONMENTAL ASSISTANCE TO EASTERN AND CENTRAL EUROPE -DANCEE..................................................................................................................163.4 ENVIRONMENTAL ASSISTANCE TO THE ARCTIC REGION - DANCEA..............173.5 ENVIRONMENTAL ASSISTANCE IN THE ENERGY SECTOR FOR THE NEWDEMOCRACIES IN THE BALTIC SEA REGION - THE SECTOR INTEGRATEDENVIRONMENTAL PROGRAMMES - ENERGY ...........................................................19

4. CLOSER COOPERATION BETWEEN TECHNICAL DIVISIONS, ENVIRONMENTALASSISTANCE ADMINISTRATIONS AND RESEARCH INSTITUTIONS ............................21

5. INTERNATIONAL ENVIRONMENTAL AGREEMENTS...................................................23

5.1 THE FRAMEWORK CONVENTION ON CLIMATE CHANGE AND THE KYOTOPROTOCOL .....................................................................................................................................23

5.2 THE CONVENTION ON BIOLOGICAL DIVERSITY .....................................................32

5.3 THE CARTAGENA PROTOCOL ON BIOSAFETY............................................................38

5.4 THE RAMSAR CONVENTION ON WETLANDS ..............................................................42

5.5 CITES (THE CONVENTION ON INTERNATIONAL TRADE IN ENDANGEREDSPECIES OF WILD FAUNA AND FLORA)................................................................................46

5.6 THE BASEL CONVENTION.................................................................................................51

5.7 THE POP CONVENTION (PERSISTENT ORGANIC POLLUTANTS)..........................56

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5.8 THE ROTTERDAM CONVENTION (PIC, PRIOR INFORMEDCONSENT)..............................................................................................................61

5.9 THE AARHUS CONVENTION .............................................................................................67

6.1. GLOBAL ENVIRONMENT FACILITY ..............................................................................73

6.2. EUROPEAN BANK FOR RECONSTRUCTION AND DEVELOPMENT ......................76

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ABBREVIATIONS

AIA Advance Informed Agreement (Cartagena Protocol)CDM Clean Development Mechanism (Convention on Climate Change)CITES Convention on International Trade in Endangered SpeciesCOP Conference of the PartiesCSD Commission for Sustainable Development (United Nations)CTI Climate Technology Initiative (Convention on Climate Change)DANCEA Danish Cooperation for Environment in the ArcticDANCED Danish Cooperation for Environment and DevelopmentDANCEE Danish Cooperation for Environment in Eastern EuropeDEA Danish Energy AgencyDEPA Danish Environmental Protection AgencyDFLRI Danish Forest and Landscape Research InstituteDFNA Danish Forest and Nature AgencyDFSC Danida Forest Seed CentreEIA Environmental Impact AssessmentEMS Environmentally Sound ManagementEPSF Environment, Peace and Stability FacilityFAO Food and Agriculture OrganisationGEF Global Environment FacilityHFC HydrofluorocarbonsIFF Intergovernmental Forum on ForestsINC International Negotiating CommitteeIPCC Intergovernmental Panel on Climate Change (United Nations)IPF Intergovernmental Panel on ForestsJI Joint Implementation (Convention on Climate Change)LMO Living Modified OrganismNEFCO Nordic Environment Finance CorporationNERI National Environmental Research Institute (Denmark)NIB Nordic Investment BankNIS Newly Independent StatesNGO Non-Governmental OrganisationOECD Organisation for Economic Cooperation and DevelopmentPFC PerfluorocarbonsPIC Prior Informed ConsentPOP Persistent Organic Pollutantsppm parts per millionRTC Regional Training Centre (Basel Convention)UNDP United Nations Development ProgrammeUNECE United Nations Economic Commission for EuropeUNEP United Nations Environment ProgrammeUNFF United Nations Forum on ForestsUNIDO United Nations Industrial Development OrganisationWHO World Health OrganisationWTO World Trade OrganisationWWF Worldwide Fund for Nature

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FOREWORD

Denmark has been an active player in international forums for many years, working on the basisthat many environmental problems are transboundary, or global in nature, and can therefore be bestregulated at an overall level. We are therefore party to a range of international environmentalagreements and are working actively to encourage more countries to join and respect internationalagreements.

At the same time, Denmark is faithful to the commitments undertaken by rich countries at the 1992Rio Summit and has, for years, been providing environmental assistance to developing countriesand countries with economies in transition. Our years of experience in environmental technologyand knowledge of environmental regulation will provide a shortcut for these countries to achieve acleaner environment and better quality of life without repeating the mistakes made by rich coun-tries.

Therefore, at my ministry, some staff are deeply involved in administering international conven-tions, while others administer environmental assistance programmes. Combining these two types ofexpertise was a natural step to take. It was also logical to expand the ministry’s experience of link-ing environmental assistance together with implementing international environmental agreements inDanish legislation.

Over the years, a series of environmental assistance projects relating to international conventionsand agreements have been implemented – activities that can be prioritised and systematised. Thispublication shows how coordinated work procedures can strengthen activities by uniting the effortsof those engaged in international conventions and environmental assistance. The reference section,including relevant conventions in the four priority areas (climate, biodiversity and natural resources,chemicals and hazardous wastes, and the general public) is for non-specialists. The section also de-scribes the demands countries are expected to fulfil as a party to a particular convention and out-lines options for environmental assistance that can contribute to compliance by partner countrieswith the demands set by the international environmental agreement in question.

Naturally, such coherence requires the active involvement of partner countries. A continuing dia-logue is needed on the relation between environmental assistance and efforts to comply with inter-national conventions.

I am sure that the principles described in this publication will contribute to sustainable develop-ment.

Svend AukenThe Danish Minister for Environment and Energy

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1. INTRODUCTION

The Danish Parliament recently stressed that Denmark must strengthen its efforts to implement en-vironmental agreements in partner countries. This happened with the unanimous adoption of a deci-sion on environmental assistance (V79) on May 4, 1999, and V101 of May 22, 2000, on strength-ening active work to support the implementation of environmental conventions.

The Danish Ministry of Environment and Energy has prepared and implemented a wide range ofenvironmental assistance projects that relate to international conventions and agreements. This isthe case in Eastern Europe, Southeast Asia, Southern Africa and the Arctic region, and includesprojects that relate to the Convention on Climate Change, the Montreal Protocol under the ViennaConvention, the Helsinki Convention, the Basel Convention, the Convention on Biological Diver-sity, the Ramsar Convention on Wetlands, the CITES Convention, the international forest recom-mendations and the World Heritage Convention. Activities so far have thus covered many areas ofsignificant international interest to the work of the ministry but activities should be prioritised andstrengthened further.

Denmark is an active participant in international environmental cooperation and is proactivelybuilding up an international society based on the rule of law. Denmark provides a significantamount of bilateral environmental assistance, both in relative and absolute terms. This is interna-tionally acknowledged in the latest OECD evaluation of Danish environmental policy (April 1999).

This publication is meant for the staff of the ministry who work on a daily basis with internationalenvironmental agreements and those who administer environmental assistance programmes, i.e.DANCEE (Danish Cooperation for Environment in Eastern Europe), DANCED (Danish Coopera-tion for Environment and Development), DANCEA (Danish Cooperation for Environment in theArctic) and the Sector Integrated Environmental Programmes – Energy (environmental assistance inthe energy sector for the new democracies in the Baltic Sea Region).

The aim is to create a dynamic exchange, through which bilateral project cooperation continuallydevelops in tandem with the development of Danish priorities in the multilateral environmentalagreements and vice versa. In other words, the specific projects should reflect the Danish policy inthe environmental sector, which, in turn should be inspired by the experiences from project coop-eration and obtain the full political benefit of the resources applied in environmental assistance.

The publication is based on recent experience of actively linking environmental assistance to theimplementation of international agreements in Danish legislation. This publication, therefore, out-lines a systematic organisation of existing working methods, and introduces new tools and proce-dures developed on that basis.

It does not replace existing strategies such as e.g. “Strategy for a strengthened involvement in thechemicals sector”, but is primarily a tool to be used by those in the ministry who administer envi-ronmental assistance and those who are involved in international conventions, in an ongoing dia-logue with counterparties in partner countries.

Chapter two describes priority areas that could strengthen coherence between implementing con-ventions and environmental assistance. However, we can still carry on working in other areas, e.g.

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one such priority not included in this publication is the 1992 Rio Forest Declaration and subsequentglobal and regional recommendations on, for example, sustainable forestry. These result from as yetincomplete negotiations that also involve the issue of a Forest Convention. As the area of conven-tions is continuously developing, this publication will be revised every other year. However, up-dated information is always available at the web sites relating to the relevant conventions and theministry’s technical divisions and institutions.

Chapter two also deals with global environmental problems and prioritised conventions. Chapterthree briefly describes the countries cooperating with the Danish Ministry for Environment and En-ergy and the major environmental issues in these countries. The publication includes a series oftools and routines, and identifies the organisations responsible for their execution (see Chapterfour). Chapter five describes in detail the specific conventions and requirements parties must meetand suggestions for possible environmental assistance measures. And finally, Chapter six brieflydescribes the European Bank for Reconstruction and Development (EBRD) and the Global Envi-ronment Facility (GEF). GEF operates the financial mechanisms of the Convention on ClimateChange and the Convention on Biological Diversity.

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2. PRIORITISED ACTION AREAS

2.1 Opportunities for better coherence between international agreements and environmentalassistance

The objective for both Danish environmental assistance and international agreements on the envi-ronment is to obtain a better protection of global nature and the environment. Many of the countriesDenmark provides with environmental assistance have signed the same international agreements asDenmark, but lack the economic and administrative resources to live up to the obligations theybring. In the final analysis, this can weaken the agreements and have a negative effect on nature andthe environment.

Through environmental assistance, Denmark can help create the basis for environment authorities inpartner countries to access and then implement the agreements. Projects launched in the partnercountries range from strategic measures (e.g. national action plans) through capacity developmentand methodology (education, data collection) to a tangible level (nomination of protected areas,management plans for natural areas, demonstration of energy savings, public participation, infor-mation and communication, etc). Moreover, projects that do not directly meet the obligations of theinternational conventions are required to harmonise with international commitments and recom-mendations.

Obviously, a need must be identified in the partner country before a certain initiative can be sup-ported through resources from Danish environmental assistance. At an overall level, this identifica-tion takes place when programmes for environmental assistance for the respective countries aredeveloped. More precise discussions on the nature and dimension of the need for assistance typi-cally take place during annual negotiations between the counterparts in the countries concerned andrepresentatives from the Danish Ministry of Environment and Energy. However, project proposalscould also come from other international donors and project administrators from ministries takingpart in international negotiations that are also attended by representatives from the countries con-cerned. However, the partner countries themselves ultimately finalise the definition of the need.

When a need for assistance has been identified, the next step is to clarify whether there are re-sources to provide the assistance and whether there is sufficient Danish knowledge and experiencein the area to make the development of a Danish-financed project realistic. The source of theknowledge must be identified (private consultancies, NGOs, research institutions, the administrativeagencies under the Danish Ministry for Environment and Energy, local authorities and others).

Specific assistance is often provided by Denmark so that a partner country can ratify a certainagreement, for example through assistance for the necessary management plans, for strengtheningthe administrative resources needed or phasing out specific substances. Thus, synergy can be estab-lished between Danish environmental assistance and Danish efforts on a global level to obtain envi-ronmental cooperation that is useful to both sectors.

In our experience, the Danish focus on international conventions and agreements encourages theparticipating authorities and organisations in the partner countries to pay closer attention to interna-tional commitments, including the desire for active participation in the relevant international fora, ifthis not already the case.

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Environmental assistance can also help to build up credible cooperation between Denmark on onehand and developing and Eastern and Central European countries on the other - credibility that, inthe long run, can encourage the forging of new alliances for future negotiations.

And last but not least, Denmark fulfils a series of commitments made by the industrialised countriesto transfer additional resources to developing countries and countries with economies in transitionin Eastern and Central Europe. We add to our credibility and the weight of our opinions by showingin practice that we live up to the aims of environmental assistance stated at the UN Conference onEnvironment and Development held in Rio de Janeiro in 1992.

2.2 Environmental problems, environmental conventions and environmental assistance

Global environmental issues cover a wide range of problems that are prioritised differently by dif-ferent countries. Global acknowledgement of the extent of some of the problems caused the adop-tion of environmental conventions. In this strategy, the Danish Ministry of Environment and Energyhas chosen the following conventions that will be described further in Chapter 5.

The Convention on Climate Change. Global climate change ranks high on the internationalagenda. The Intergovernmental Panel on Climate Change (IPCC) has claimed that the emission ofCO2 and other greenhouse gases can lead to global warming within the foreseeable future. But thereis uncertainty about the extent to which the global warming will take place. Global warming canhave negative impacts on the economic, environmental and social development.

The Kyoto Protocol. Through the Kyoto Protocol under the Convention on Climate Change, theindustrialised countries have committed themselves to reducing their emissions of greenhousegases. Negotiations are being conducted to investigate the scope for industrial countries and privateenterprises to invest in measures that will reduce CO2 emissions in developing countries. Develop-ing countries and countries with economies in transition with considerable economic growth willcontribute more and more to the emission of greenhouse gases. The promotion of especially sus-tainable (including renewable) energy in these countries can contribute to the stabilisation of green-house gas emissions to the atmosphere.

The Convention on Biological Diversity. Global biodiversity is under pressure due to populationgrowth and the irresponsible exploitation of natural resources. The opening up of new areas e.g.where wetlands and forest areas are cleared for cultivation or for plantations, often increases pres-sure on biological diversity. Reduction of biological diversity can reduce the welfare of future gen-erations by reducing access to new and improved crops and medicine. The reduction in the wealthof species is a problem in itself, as it threatens stability and the continued existence of often vulner-able ecosystems. The UN Convention on Biodiversity aims to protect biological diversity (geneticdiversity, diversity of species and habitats) and sustainable exploitation of these areas. The protocolon biosafety of the Convention (the Cartagena Protocol) regulates the safe transfer and use of liv-ing modified organisms (LMOs).

The Ramsar Convention on Wetlands and the CITES Convention. The challenge lies in helpingdeveloping countries to form policies and concrete measures to promote the sustainable exploitationof natural resources. Measures for protecting natural resources can include a broad range of activi-ties, such as protecting wetlands (the Ramsar Convention) and measures against the trade in endan-gered plant and animal species (the CITES Convention).

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The Basel Convention. Hazardous wastes are a growing problem, as every year more than 400million tonnes of hazardous waste are produced globally, which must be transported and disposedof. Through the adoption of the Basel Convention, regulating transboundary movement of hazard-ous wastes, an important step has been taken towards safer handling of hazardous wastes. Finally,the recently imposed ban on the export of hazardous wastes from OECD countries to non-OECDcountries has had a considerable significance for a number of developing countries that have tradi-tionally received hazardous wastes from industrialised countries. The challenge is to ensure thatmore partner countries fulfil the goals of the Basel Convention, thereby ensuring responsible man-agement of hazardous wastes globally.

The POP and PIC Conventions. In recent years, environmental problems linked to using chemi-cals have come more into focus internationally. In particular, persistent organic pollutants (POPs),including DDT, are considered to be serious threats, as they are largely non-biodegradable. Whenthese substances accumulate in the food chain, they pose an increasing threat to the maintenance ofimportant ecosystems, biodiversity and the water resources of the planet. Most industrialised coun-tries have banned the use of the worst POPs and now focus more on how developing countries andtheir industries can be persuaded to stop using and producing these chemicals.

UNEP has taken the initiative for negotiating an international convention on these chemicals - in-cluding phasing out 12 POPs in developing countries. The issue of the use or elimination of the useof these chemicals is complicated by the fact that developing countries often lack practical alterna-tives. The Danish Ministry for Environment and Energy has participated actively in the negotiationsleading to the forthcoming POP Convention and supports measures to phase out POPs in develop-ing countries. The Rotterdam Convention (PIC Convention) demands prior informed consent in thetrade in certain hazardous chemicals, promoting joint responsibility between exporting and import-ing countries.

The Aarhus Convention. The Convention on Public Access to Environmental Information, the so -called Aarhus Convention, spells out a series of certain minimum citizens’ rights with regard toaccess to information on the environment, access to participation in environmental decisionsthrough hearings and the like, and access to judicial reviews of decisions made in the environmentalsector. The Convention will in many signatory countries, eastern and western, mean greatly ex-panding access so that common citizens and grassroots movements can influence specific environ-mental decision processes. In many Eastern European and developing countries, there is very poorpublic participation in environmental decision-making and there is a great need to work on a broadfront in this area.

It makes good sense to focus efforts on a number of prioritised conventions to increase effective-ness and power of penetration. In the future, there should be a focus on the following high-priorityareas:

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• The Convention on Climate Change and the Kyoto Protocol (greenhouse gases)• Biological diversity and the sustainable use and protection of natural resources:

• The Convention on Biological Diversity and the Cartagena Protocol on biosafety• The Ramsar Convention on wetlands• The CITES Convention (trade in endangered animal and plant species)

• Chemicals and hazardous wastes:• The Basel Convention (movements of hazardous wastes)• The Rotterdam Convention (PIC, trade in hazardous agricultural and industrial chemi-

cals)• The POP Convention (persistent organic pollutants)

• Public participation:• The Aarhus Convention

The Montreal Protocol has not been included in this list because there have been positive experi-ences over many years of implementing both bilateral (through DANCEE) and multilateral (e.g.through GEF) projects for phasing out ozone-depleting substances. This protocol is still important,but current Danish measures do not need to be prioritised higher.

In early 2000, the Danish Forest and Nature Agency prepared a “Strategy for coherence betweeninternational agreements and environmental assistance in the green sector”, which covers possibleenvironmental assistance measures in a broader range of forest and nature-related areas than in thispublication. This strategy, which can be obtained from the Danish Forest and Nature Agency ordownloaded from www.sns.dk, details the possibilities of planning and launching environmentalassistance projects in the green sector, including assistance for the EU accession process in Easternand Central Europe.

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3. PARTNER COUNTRIES

3.1. Danish environmental assistance under the auspices of the ministry

Danish environmental assistance under the auspices of the Danish Ministry of Environment andEnergy was launched with the Danish parliament’s adoption of the law on support to EasternEurope in 1991, which was incorporated in 1993 into Danish foreign policy as a strategic elementon the background of the memorandum “Denmark’s International Initiatives”]. The specific eco-nomic framework for financing environmental assistance was based on the Danish parliament’sdecision in 1992, linked to Danish follow-up on the UN Conference on Environment and Develop-ment held in Rio de Janeiro the same year. Environmental assistance was expanded to include aseries of developing countries and the Arctic Region. The economic facility that now covers envi-ronmental assistance is called the Environment, Peace and Stability Facility (EPSF). Its size is fixedannually in the Budget. The goal is for the total Facility to increase gradually until 2005, when itwill constitute 0.5% of Danish GNP. The funds are to be divided equally between environmentalmeasures and peace and stability measures. Environmental assistance will be about half of the ap-propriation, or about 3 billion Danish kroner a year in 1999 prices.

Danish environmental assistance is provided on the basis of guidelines and priorities spelled out instrategies for environmental assistance to developing countries (countries in Southeast Asia andSouthern Africa), assistance to Eastern and Central European countries and assistance for the Arcticenvironment.

The strategies attempt to link assistance to international agreements, and increasingly, higher prior-ity is being given to support for projects that directly follow up on or directly contribute to the spe-cific implementation of commitments related to international environmental cooperation.

A brief description of DANCED, DANCEE, DANCEA and the Sector-Integrated EnvironmentalMeasures – Energy are provided below. More details on environmental assistance programmes areavailable at these web sites.

• DANCED: www.mst.dk/danced/• DANCEE: www.mst.dk/dancee/• DANCEA: www.mst.dk/dancea/• Sector Integrated Environmental Programmes – Energy: www.ens.dk/øststøtte/

3.2 Environmental assistance for developing countries – DANCED

The strategy for environmental assistance for developing countries (1996) states:

“The activities are based on the global prioritisation which stems from the Rio Conference andwere articulated in Agenda 21, the Convention on Biological Diversity, the Convention on ClimateChange, the Convention to Combat Desertification and the Forest Declaration as well as other in-ternational conventions.”

The table below lists countries that are entitled to support from the Danish Ministry of Environmentand Energy:

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DANCED partner countriesSoutheast Asia Malaysia

ThailandSouthern Africa Botswana

LesothoNamibiaSouth AfricaSwaziland

In Southeast Asia, a range of serious environmental problems are connected to rapid urbanisationand industrialisation, including the decline of forest areas and quality, poor management of pro-tected areas, decreasing biological diversity, lower agricultural and forest productivity and pollutionfrom agricultural chemicals. The total forest area has thus been severely reduced in recent decades,and now covers only half what it did about 40 years ago. Systematic accounts, monitoring and datafrom the protected areas are typically lacking and so there is no clear picture of the status of pro-tected areas. Unsustainable agricultural methods and the use of marginal lands for agricultural pro-duction create severe problems and also cause people to move to the big cities.

Rapid growth in industrial production, urbanisation and traffic has taken place in a relatively shortperiod and the authorities have not sufficiently planned or implemented mitigating measures withregard to air, water and soil pollution, waste management, sewage treatment, etc. Increased eco-nomic growth is, as a rule, still linked to growth in energy production, which also contributes topollution and increased pressure on natural resources. Large amounts of biological waste from agri-cultural and forest-based industry are not utilised optimally for energy production, and energy effi-ciency is only now being put on the political agenda.

Finally, there is only a limited tradition for or experience of public participation in connection withenvironmental issues, and experience of decentralisation is scarce.

Environmental problems in Southern Africa result mainly from increasing pressure on natural re-sources caused by a combination of widespread poverty, increasing population growth, rapid urbangrowth and industrialisation. These factors combined create increasing resource consumption andwater, soil and air pollution.

In rural areas, where the majority of the population live, increasing pressure on natural resourcescauses, for example, soil erosion and degradation, excessive deforestation with desertification as aconsequence, over-fishing and loss of biological diversity due to general overuse of the natural re-source base and increased use of natural habitats of flora and fauna for agricultural purposes.

In urban areas, the biggest problem is the lack of planning of urbanisation and industrialisation andthe problems that arise from the emission of untreated sewage and industrial pollution, lack of wastecollection and uncontrolled waste deposition, lack of sewerage and poor sanitary conditions, andineffective and strongly polluting energy use in both the domestic and industry sectors. These envi-ronmental problems not only affect the towns, but also the country and coastal areas around thetowns.

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Regional strategies have been prepared for DANCED’s environmental assistance to Southeast Asiaand Southern Africa. In the light of the priorities of the cooperating countries and the extent ofDanish expertise, the following topics have been chosen for project activities.

• Urban development and industrialisation• Sustainable energy• Agriculture• Water resources• Forest and timber resources• Biological diversity• Coastal zones

3.3 Environmental assistance to Eastern and Central Europe - DANCEE

Activities are based on the 1993 strategy for environmental measures in Eastern and CentralEurope, which is being updated with the following objectives:

• That the assistance helps as far as possible to protect the environment in Central and EasternEurope by supporting Central and Eastern European countries that have applied for membershipof the EU in their efforts to implement the demands of the EU and international conventions inthe area of environment and energy.

• That the assistance helps the Commonwealth of Independent States and other countries not ap-plying for EU membership in their approach to an enlarged EU and helps to reduce pollutionthat affects the health of the population, to reduce cross-border pollution that affects EU coun-tries, to protect biodiversity and to implement international environmental conventions.

• To support initiatives for political and economic development towards environmentalsustainability, especially by supporting market-based development and democratisation, in-cluding moves to increase responsibility in the private sector and include NGOs and the generalpublic.

Memoranda of Understanding have been signed with 11 Central and Eastern European countries onthe environment: Belarus, Bulgaria, the Czech Republic, Estonia, Latvia, Lithuania, Poland, Roma-nia, Russia, Slovakia and Ukraine. Environmental assistance to Eastern Europe is administered byDANCEE under the Danish Environmental Protection Agency. Assistance to the Czech republic isbeing phased out and cooperation with Moldova is being established.

In partner countries outside the Baltic region, a range of energy projects are being carried out withinthe framework of DANCEE. The Danish Environmental Protection Agency administers these proj-ects in cooperation with the Danish Energy Agency. Energy projects in the partner countries in theBaltic Sea Region are carried out within the framework of the Sector Integrated Environmental Pro-grammes – Energy, described in section 3.5.

The partner countries are at quite different stages of transferring to market economies and reformingtheir administrative processes.

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The objective for the 10 Eastern European countries seeking membership of the EU is the imple-mentation of the EU Environmental Directives, which is the most important and expensive aspect ofEU accession. The demand regarding implementing and meeting EU environmental standardsplaces a heavy economic and administrative burden on these countries. As well as needing consid-erable investments in environmental infrastructure projects - especially in the areas of water, wasteand air - these countries badly need to reform their legislation and administration in the environ-mental sector to adapt to EU demands.

The Newly Independent States are still struggling with economic reconstruction and to a large de-gree, their lack of resources has had a negative influence on the environmental infrastructure andenvironmental administration. Individual countries are making progress in the democratisation pro-cess, but they are generally losing considerable ground in solving health and environment relatedproblems.

Danish environmental assistance is provided in the following priority areas: Water and air quality,waste treatment, chemicals, and nature protection, including biodiversity and sustainable forestry.Likewise, cross-sectoral initiatives are being supported to help strengthen the institutions and tech-nical expertise in the countries, promote public participation in the decision-making process andstrengthen the accountability of the private sector, encouraging companies to take their share of theburden in the environmental sector. Implementing international agreements and conventions is partof the aggregate support for environmental projects in Eastern and Central Europe in most of theaction areas.

The country programmes for the individual countries spell out the specific priorities for initiatives.The criteria for granting project support are presented in the DANCEE “Project Cycle ManagementManual”, 1999.

3.4 Environmental assistance to the Arctic region - DANCEA

The memorandum on “Denmark’s International Initiatives” from 1993 prompted the government toadopt the “Regional Strategy regarding measures for the protection of the Arctic environment” inFebruary 1994.

In harmony with Parliament’s recommendation to the Government to strengthen EPSF initiativesin the Arctic, especially Greenland, resources have been set aside in the Budget since 1994, the so-called MIKA-Arctic facility, now called DANCEA. Resources for activities in the Arctic region areadministered by the Danish Ministry of Environment and Energy.

The overall objective is to ensure environmentally sustainable development of natural resources andnature protection, and prevent and limit pollution of the Arctic environment.

Even though parts of the Arctic environment are relatively pristine, recent investigations havedocumented that the health of certain population groups in the Arctic, including Greenland, isthreatened as a result of transboundary pollution caused by heavy metals, persistent organic pollut-ants and radioactive substances. In connection with global environmental problems, there is still alack of sufficient knowledge of the effect of climate change and the breakdown of the ozone layerin the Arctic.

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Greenland faces specific environmental problems in connection with waste (hot spots), energysupply to and consumption in the housing sector, commercial activities such as tourism, resourceexploration and preserving the historical heritage.

Russia covers a very large part of the Arctic region and several places have huge environmentalproblems as a consequence of the irresponsible exploitation of mineral and fossil resources. De-struction of the indigenous peoples’ traditional hunting and trapping areas is increasing, while un-employment is rising. The economic crisis in Russia has hit the indigenous people particularly hardand the mean life expectancy is 20 years lower than for the rest of the Russian population.

The Arctic part of EPSF - DANCEA, includes a series of activities and programmes directed to-wards the Arctic areas and their inhabitants:

• The Arctic Monitoring and Assessment Programme (AMAP)• The Arctic Environment Programme - knowledge building (AMP-V)• The Arctic Environment Programme - specific measures (AMP-K)• Sector Programme for the Environment and the appropriate energy-based renovation of the

housing sector in Greenland and Energy supply activity• Support for the indigenous people of the Arctic

From the beginning, some of the environmental assistance for the Arctic has been earmarked for thenational implementation of the Arctic Monitoring and Assessment Programme, that:

• Monitors the extent of transboundary pollution from industrialised countries• Investigates and assesses the effects of climate changes and increased UV radiation in the Arctic

The results from AMAP form the basis for advising governments in the Arctic countries whichmeasures are necessary to improve the state of the Arctic environment.

AMAP has launched activities to make the environmental problems of the Arctic visible and pre-pare “fact sheets” on the status of pollution in the Arctic. These fact sheets contain an overview ofthe Ministerial decisions and decisions of the Arctic Council and factual information on the state ofpollution in the Arctic that can be used as documentation for negotiations at international conven-tions, etc.

AMP-V supports projects that contribute documentation and new knowledge of significance forthe solution of environmental problems in the Arctic community, especially Greenland. The proj-ects should thereby contribute to environmentally sustainable development in the Arctic.

AMP-K provides subsidies for projects in Greenland that aim to preserve the local environment,promote environmental consciousness and initiatives and ensure sustainable development of busi-ness and society. The work focuses on providing safe drinking water, modern waste managementsystems, energy-saving measures and energy production.

Furthermore, projects of relevance to the Arctic can be supported in the Faeroe Islands, demon-stration projects in the rest of the Arctic region, including specifically areas in the Arctic part ofRussia.

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The following activities can be supported:

• Environmental investments and technical assistance, and capacity development, including thetransfer of knowledge in the form of strengthening the environmental administration

• Education and training, research and development activities, information activities, awarenessraising, communication, etc.

• Establishment of environmental funds where the capital is put at the disposal of local authoritiesand groups of the population for specific initiatives in the local community

The sector programme for environment and appropriate energy-based renovation of the housingsector was established in the light of an agreement with the Greenland Home Rule Government andthe government for the support of an extraordinary measure of renovation. The programme is ex-pected to run through 2000-2003.

The Danish Environmental Protection Agency and the Danish Energy Agency approve an annualdraft programme that is worked out and implemented by the Greenland Home Rule Government.

Support for the indigenous people in the Arctic part of Russia and their NGOs is made to encouragesustainable development, environmental protection and nature conservation. This work has so farconsisted of economic support for the RAIPON secretariat, which is an umbrella organisation forthe indigenous people in the Arctic part of Russia, as well as training in project development. Aprogramme for continuing the activities is being prepared.

Finally, DANCEA supports the operation of the Indigenous Peoples’ Secretariat (IPS), which sup-ports the participation of indigenous people in the Arctic in the environmental cooperation of theArctic Council.

DANCEA is administered by the Division for Northern Cooperation and Environmental Export atthe Danish Environmental Protection Agency in cooperation with, for example, the Danish Forestand Nature Agency and the Danish Energy Agency. The Danish Polar Centre helps provideDANCEA with secretarial services on a day-to-day basis.

3.5 Environmental assistance in the energy sector for the new democracies in the Baltic SeaRegion - the Sector Integrated Environmental Programmes - Energy

Since 1994, within the framework of Danish environmental assistance, the Danish Energy Agencyhas administered a series of energy sector programmes in Eastern and Central Europe. Since 1998,the measures have been provided in the framework of the sector-integrated environmental work,with an overall objective that stems from the Action Plan - Baltic Agenda 21 (www.ee.baltic21).This regional action plan aims to promote environmentally sustainable development based on mar-ket-led principles in the Baltic Region.

In geographical terms, the Sector Integrated Environmental Programmes - Energy are directed to-wards the new democracies of the Baltic Sea Region, i.e. Estonia, Latvia, Lithuania, Poland andRussia (the regions of St. Petersburg and Kaliningrad). Cooperation agreements concerning energyprogrammes have been entered into with all these countries.

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Energy-sector programmes are to help promote the environmentally sustainable development of theenergy sectors of the partner countries. The countries can then meet the requirements of interna-tional environment and energy agreements while achieving economic growth without increasingenergy consumption and causing negative environmental consequences. Another objective is tosupport EU applicant countries with the implementation of EU environment and energy demands.

The energy-sector programmes focus on the following four major areas of activity:

• Energy efficiency (at supply and consumption levels)• Energy savings• Cleaner fuels, including renewable energy• Institutional and capacity development

In recent years especially, Danish environmental assistance in the energy sector has supported proj-ects on district heating and combined heat and power, energy savings for end-users, institutionaland capacity building, cleaner fuels and energy planning.

Country programmes with the partner countries, which are renewed annually, spell out the details ofpriorities for activities. The criteria for granting project support can be found in the project manualfor the Energy Sector Programme. (Sector Integrated Environmental Programmes - Energy. ProjectCycle Manual, September 2000).

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4. CLOSER COOPERATION BETWEEN TECHNICAL DIVISIONS, ENVI-RONMENTAL ASSISTANCE ADMINISTRATIONS AND RESEARCH IN-STITUTIONS

Close links must be ensured between bilateral environmental assistance and the specific fulfilmentof the obligations stated in conventions, including the preceding international environmental nego-tiations. This involves strengthening co-operation between the divisions of the ministry workingwith bilateral environmental assistance and those that monitor the implementation of internationalconventions and recommendations on behalf of Denmark.

The ministry’s research institutions play a distinct role in the international work. In many cases theyare responsible for the technical implementation of the Danish commitments to conventions and thediscussions in international professional fora associated with the work on international conventions.The experience they have gathered on procedures and systems for monitoring and data processing isof great significance both for conventions and environmental assistance work.

First, the tools and routines must be introduced into work procedures to ensure the ongoing ex-change of information between ministry staff. This creates a climate of cooperation in which theministry’s criterion for success, and therefore the criterion for its management and employees, is thefruitful and creative development of the instruments. These instruments promote the desired syn-ergy effect, create political results for implementing international environmental conventions andstimulate specific results from bilateral cooperation work that, through the EPSF, has high politicalpriority in Denmark.

Some of the guidelines for better and closer coordination between the relevant units and ministrystaff are described below.

A general orientation about the meeting and mission activities of the environmental assistance divi-sions can be obtained through the inset in the magazine MiljøDanmark, called “Environmental As-sistance”, the DANCED Newsletter, and the annual reports of the environmental assistance pro-grammes. But this is insufficient for the daily work of strengthening interaction between work onthe conventions and environmental assistance. The DEA publication EnergiNyt gives similar up-dates on tangible measures being taken on the energy front. Informal networks between staff work-ing on the conventions and those involved in the administration of environmental assistance pro-grammes must be set up to encourage the exchange of information, experience and news.

The specialised knowledge of staff members working on conventions ought also to be included ine.g. project formulation, assessment and evaluations to the extent that resources permit. Conversely,the technical divisions and institutions should be informed about relevant projects or other activitiesthat support the implementation of particular conventions in the partner country concerned. Therecan also be political signals or changes in direction in cooperation with a partner country that wouldcomprise useful information for the environmental assistance staff worker concerned.

The environmental assistance divisions will be kept informed of international meetings through the“international calendar” which will routinely be prepared by the ministry’s department and is acces-sible at: www.mem.dk/international. More direct orientation and updating will be needed from thetechnical divisions and institutions in connection with missions or visiting delegations, for example.

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The technical divisions will require updated lists of convention-related projects in connection withDanish reporting to the convention secretariats and will receive, on request, contributions towards adescription of the year’s environmental assistance cooperation that is relevant to conventions fromthe environmental assistance divisions.

The environmental assistance divisions, including staff at the embassies, are responsible for takingthe initiative for preparing and coordinating:• That the political message in the publication concerned is communicated in an English-language

version that can be used in a convention and project context, as the communicator of the im-portance Denmark wishes to place on the direct link between the words in conventions and ac-tions taken (the specific cooperation in e.g. environmental assistance).

• That contracts for environmental assistance projects ask the project holder to prepare an Eng-lish-language fact sheet containing information on the relevance of the project in relation to theinternational environmental agreement in question, and a summary. These fact sheets should beused by convention staff workers and the officers who administer environmental assistance.

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5. INTERNATIONAL ENVIRONMENTAL AGREEMENTS

This section briefly describes the objective of the convention, agreement or directive, its scope andfunction. The demands placed on member countries and their options for assistance are then out-lined. These are not exhaustive and for inspiration only, i.e. there would be more options than thoselisted here. Finally, the Danish policy and future strategic work for each of the agreements are de-scribed. Each section also names the division in the Danish Ministry of Environment and Energyresponsible for a certain convention, a relevant web site where readers can follow the status of theconvention, and a calendar of the most important convention meetings in the immediate future. Anongoing update of environmental treaties and their parties can be found at:http://sedac.ciesin.org/entri/

5.1 THE FRAMEWORK CONVENTION ON CLIMATE CHANGE AND THEKYOTO PROTOCOL

Description

a) The Convention on Climate Change

In 1988, the UN established the Intergovernmental Panel on Climate Change (IPCC) and at the UNGeneral Assembly in autumn 1990, it was decided to continue the negotiations for a climate con-vention. The convention was negotiated between January 1991 and Spring 1992, signed by 154countries at the Earth Summit in Rio de Janeiro in June 1992 and came into effect on March 21,1994. It has now been ratified by 184 parties. Both the convention and the protocol are global andtherefore have no geographical limits.

The objective of the convention is to “achieve stabilisation of the concentrations of greenhousegases in the atmosphere, which can hinder a dangerous human influence on the climate system. Thislevel must be realised within a time frame that is sufficient to ensure that ecosystems can adaptnaturally to climate changes, so that food production is not threatened and so that economic devel-opment can continue on a sustainable basis”.

In principle, the Convention on Climate Change includes all greenhouse gases not regulated by theMontreal Protocol. Currently, six greenhouse gases are included: The naturally occurring gases car-bon dioxide, methane and nitrous oxide as well as the industrially produced fluorocarbons: HFCs,PFCs and SF6.

As the commitments of the convention are inadequate to meet the long-term objective as far as re-stricting greenhouse gas emissions is concerned, the convention was supplemented with the KyotoProtocol in December 1997.

The highest decision-making organ is the Conference of the Parties (COP), which meets once ayear. The Conference of the Parties makes decisions regarding changes to the convention, and newobligations under the convention, both business matters such as budget and new protocols. The nextCOP will be held in Bonn in May 2001.

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The Convention Bureau consists of a chairman, representatives from the five regional groups, thesmall island states, and the chairmen of the two assisting bodies – the Subsidiary Body for Scien-tific and Technical Advice (STAP) and the Subsidiary Body for Implementation (SBI). The Con-vention secretariat is institutionally part of the UN system. Since August 1996, the secretariat hasbeen located in Bonn, Germany.

b) The Kyoto Protocol

The Kyoto Protocol was adopted by COP3 in 1997 and has been signed by 84 countries. The KyotoProtocol is an intensification of the demands of the Convention on Climate Change, particularly forindustrialised countries. The protocol outlines binding reduction targets for the so-called Annex 1countries, i.e. the industrialised countries and countries with economies in transition (in Central andEastern Europe). The Kyoto Protocol comes into effect only when ratified by at least 55 countries.Of these countries, there should be so many industrialised countries whose CO2 emissions make upat least 55% of the total emissions in industrialised countries in 1990. As CO2 emissions in the USAand Russia equal 36% and 17%, respectively, the protocol needs these two countries if it is to comeinto effect. The protocol has currently been signed by 22 countries, mainly island states and devel-oping countries.

The Kyoto Protocol includes a provision for trade in emission quotas, crediting of investments injoint projects in Annex 1 countries (Joint Implementation - JI) and trade between Annex 1 countriesand developing countries (Clean Development Mechanism - CDM). This is to effectively reduceemissions of greenhouse gases by industrialised countries as much as possible. The CDM has twoobjectives: To reduce greenhouse gas emissions in industrialised countries and promote sustainabledevelopment in developing countries. The conditions, rules and guidelines for the use of the Kyotomechanisms, which are under negotiation, are expected to be adopted by COP6. It is possible togain credit for CDM projects initiated in 2000 or later, provided the projects meet the guidelines tobe fixed for CDM.

The Convention on Climate Change and the Kyoto Protocol add new elements to cooperation be-tween Annex 1 countries and developing countries, as well as among Annex 1 countries. Eventhough developing countries have not yet committed themselves to limiting greenhouse gas emis-sions, this is the long-term aim. Political and financial support is needed to lead the development indeveloping countries in a sustainable direction and contribute to technology and knowledge trans-fer.

c) Other international agreements concerning the climate

The Convention on Climate Change and the Kyoto Protocol should be seen as the backdrop for re-lated international agreements that work in the same or related problem areas. The agreement com-plex is largely mature and obligatory, largely geographically comprehensive and naturally overlap-ping. The agreements arise from initiatives under UN and EU auspices - the work of the WorldCommission and development of the Energy Charter concept from the late ‘80s. Only a few arenamed here.

The Energy Charter Treaty was signed in The Hague in 1994. The entire EU and 50 other countrieshave signed the Energy Charter Treaty, which was meant to secure the trade in energy between Eastand West, and promote the Protocol on Energy Efficiency and Related Environmental Aspects(PEEREA), which both came into force in April 1998 and which are now binding legal instruments

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for the parties that have ratified the treaty and the protocol. The protocol, which is Danish-inspired,is meant to ensure that the environment and sustainability become part and parcel of the energypolicy of the countries. The protocol instructions should therefore harmonise with the objectives ofDanish environmental assistance in Eastern and Central Europe, and accommodate climate policyaspects. The Protocol is being developed further through current international cooperation. Den-mark encourages recipient countries to ratify the protocol in order to contribute to a broad, adequatepolitical foundation that supports environment and energy projects. Denmark chairs the interna-tional working group for the follow-up of the protocol, which came into effect in April 1998.

At the Environmental Ministers’ Conference in Aarhus in June 1998, the ministers accepted theAarhus Declaration, including the initiative that promotes energy efficiency nationally and interna-tionally. The perspective is that a goal-oriented and powerful effort can reduce energy consumptionand thereby reduce CO2 emissions by 20-30%. Work on the Aarhus Declaration is to be continuedat the next conference in Ukraine in 2002.

The Climate Technology Initiative (CTI) was formed by the International Energy Agency/OECDcountries, and the EU Commission at the First Conference of the Parties of the Convention on Cli-mate Change in Berlin in 1995. The aim of the CTI is to promote the objective of the Convention onClimate Change for technology transfer to developing countries and countries with economies intransition. CTI activities are divided into the geographic regions of Africa, Asia, Latin America andCentral and Eastern Europe plus the Commonwealth of Independent States (CIS). The activities ofthe CTI in Central and Eastern Europe should be seen mainly as helping the Climate Secretariat inits work to transfer technology - the “consultative process”.

The CTI aims to promote capacity development, technology analysis, assessment and strategies aswell as research and development. A significant element is cooperation between CTI, the recipientcountries and private enterprises when drawing up specific technology implementation plans. Suchcooperation has been started in South Africa and negotiations have been initiated with Thailand.

The CTI operates on voluntary contributions. The chair is currently held by Denmark and the Dan-ish Energy Agency makes an annual contribution to the CTI. According to the 2001 Budget propos-als, this contribution will be increased.

The Danish Energy Agency will be continually evaluating international agreements with regard tocreating the greatest possible coherence in relation to the Convention on Climate Change and theKyoto Protocol for gaining full use of environmental assistance, including the energy sector pro-grammes that support the work as a whole.

Member state obligations

a) The Convention on Climate Change

Beside the long-term objective already mentioned, the convention contains a series of commitmentsfor ratifier countries.Presentation of overviews of greenhouse gas emissions, presentation of programmes for the reduc-tion/restriction of greenhouse gas emissions, protection of CO2 sinks and drains, e.g. forests, pro-motion of scientific research on climate change and enhancement of public knowledge of and atten-tion to climate changes.

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The reporting of national communications, describing a range of national conditions with regard tothe country’s commitment. For industrialised countries, emission overviews, programmes that re-duce greenhouse gas emission, and expectations of future emissions are especially important. De-veloping countries’ obligations depend on industrialised countries with economies that are not intransition being prepared to help financially and technically.

There is a range of obligations for the industrialised countries. These are, however, flexible in thecase of countries with economies in transition.

Industrial countries should make a political commitment to stabilising their emission in 2000 inrelation to the 1990 level. Industrialised countries that are not economies in transition should alsoprovide the required resources so that the developing countries can fulfil their obligations and coverthe cost of adapting to climate change. To promote sustainable economic and social development indeveloping countries, industrialised countries have committed themselves to promoting and fi-nancing the transfer of knowledge and sustainable technology.

Finally, the convention includes the corollary that obligations, especially those regarding green-house gas emissions in industrialised countries, shall be evaluated at regular intervals with the aimof meeting the long-term goal of stabilisation.

b) The Kyoto Protocol

The obligations are stated as a collective demand with regard to the mean emission value of the sixgreenhouse gases for the period 2008-2012 in relation to the 1990 level. The reduction for all coun-tries is to be 5%. EU countries shall reduce emissions by 8%, USA by 7% and Japan and Canada by6%, while other Annex 1 countries such as Norway, Australia and Iceland can increase their emis-sion by 1%, 8% and 10%, respectively. Russia and Ukraine are to stabilise their emissions. Estonia,Latvia and Lithuania must reduce their emissions by 8% each while Poland faces a 6% reduction.

The EU adopted the “burden-sharing agreement” in June 1998, which entails internal distribution ofthe joint EU reduction obligation of 8%. Hence, Denmark has committed to a reduction of 21% andin a declaration has related the obligation to the baseline year 1990, adjusted for power imports.

Major obligations Options for environmental assistanceConvention on Climate ChangePresenting overviews of the greenhousegas emissions, preparing programmes forreducing and limiting the emission ofgreenhouse gases, and registering na-tional communications.

Developing countries’ obligations dependon the financial and technical assistanceprovided by industrialised countries thatdo not have economies in transition.

Supporting planning and registering data, and develop-ing capacity and methods for systematising data. Build-ing up relevant databases, developing statistics andplanning tools and models.

Supporting capacity development to help administra-tions include climate change considerations in relevantpolicies and strategies and prepare climate strategies.Developing rules and institutions to help reduce green-house gas emissions.

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Promoting scientific research in the cli-mate sector and monitoring climate con-ditions, as well as promoting publicknowledge of and attention to climatechange.

Communicating knowledge of climate issues, includinginformation campaigns.

Supporting the expansion of national meteorological andmonitoring systems and collecting climate data.

Protecting carbon sinks and drains, e.g.forests.

Supporting the development and implementation ofpolicy, strategies and legislation regarding forests andbiodiversity, which secure the establishment of CO2sinks and do not undermine but strengthen sustainableforest and natural resource development.

A series of special obligations apply tothe industrialised countries.

• Industrialised countries shouldmake the political commitment tostabilise their emissions in 2000in relation to the 1990 level.

• Industrialised countries that donot have economies in transitionshould provide the required re-sources for other parties to fulfiltheir commitments and cover thecost of adjustments to climatechange.

• Industrialised countries withouteconomies in transition areobliged to promote and financethe transfer of knowledge andsustainable technology to otherparties, including developingcountries.

Promoting energy efficiency at supply and consumptionlevels.

Promoting energy savings.

Promoting cleaner fuels, including renewable energy.

The Kyoto ProtocolBinding reduction targets for Annex 1countries for the period 2008-2012,though the Kyoto mechanisms can beused to meet parts of obligations.

Supporting the preparation of national strategies thatwill fulfil the Kyoto Protocol.

Supporting the preparation of national strategies forparticipation in Joint Implementation and Clean Devel-opment Mechanism projects, including preparing JI andCDM tools and baseline studies.

Preparing and executing specific JI and CDM demon-stration projects.

Danish policy and strengths

Since 1990, the Danish government has aimed to reduce CO2 emissions from the joint energy andtransport sector by 20% in 2005 compared with the 1988 level. It is the Danish position that onlythrough significant and real reductions in the emissions of industrialised countries can credibility be

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established as the basis for demanding long-term reductions in developing countries’ emissions.Work must start on domestic measures and the execution of joint activities, firstly in the EU, butalso in cooperation with other industrialised countries.

The Kyoto mechanisms may also be used. The government believes that the mechanisms can helpfulfil the obligations by 2008-2012. The government therefore gives considerable importance todeveloping the Kyoto mechanisms and stresses that Denmark should play an active role in the fu-ture. Denmark emphasises that rules and guidelines must be engineered in a way that ensures realreductions.

The government will therefore establish a programme to analyse, develop and test the Kyotomechanisms. As regards JI, the focus is on the Baltic region, which could include a Danish pilotprogramme. As for CDM, activities in the EPSF partner countries will be in focus.

The Danish Environmental Protection Agency has built up knowledge and experience for regulatingthe use of industrial greenhouse gases (HFCs, PFCs and SF6). Moreover, the extensive contact net-work that has been established will be useful for transferring technology. DEPA could then helpprepare action plans to eliminate the use of these gases for almost all applications. Denmark canalso draw on the competence of the National Environmental Research Institute within capacity de-velopment regarding the scientific research of climate change and the consolidation of monitoringand data systems, including emissions.

Future strategic initiatives

At the COP5 Conference in Bonn in 1999, the EU encouraged all parties to ratify the Kyoto Proto-col as soon as possible after COP6 to ensure that it could come into force before the Rio+10 Con-ference in 2002.

The EU will start the political procedure for the member countries and the EU to simultaneouslyratify the Kyoto Protocol immediately after COP6. Correspondingly, the Danish government willpresent the proposal to the Parliament in early 2001.

Developing countries can be encouraged to ratify the Kyoto Protocol through the provision of newand additional financial means to ensure their sustainable technological development. Assistance todeveloping countries with low emission levels is not to be diverted for measures in middle-incomecountries.

Therefore, private investors are important for financing CDM activities, though investigations haveshown that interest in CDM activities is quite limited in the Danish private sector. This is mainlybecause of the large measure of uncertainty in investing in developing countries, and uncertaintyregarding CDM and the value of potential future emission credits.

The ongoing work on technology transfer linked to the convention and analyses completed duringthe Danish pilot programme for JI have shown that the success of technology transfer depends on areasonable investment climate and the capacity to attract investments, whether for specific projectsor other forms of financing. The main requirement is that environmentally sustainable energy in-vestments must be identified that make sense in economic terms for the potential investor. This isoften not the case, and, especially with project appraisals, the Danish Energy Agency emphasises

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that the economic framework for the investment and the measures such as legislative and tariffsector reforms that are required to attract investments must be improved.

On the background of IPCC information, the EU and Denmark are working to encourage the Partiesto fix the level at which greenhouse gases are to be stabilised in the atmosphere. The long-term ob-jective of the convention can then be operationalised as specific long-term goals for the level andtime frame for global emissions. The Council has declared that a maximum temperature rise of twodegrees Celsius in relation to the pre-industrial level and a CO2 concentration of not more than 550ppm ought to be the aim for climate negotiations.

Environmental assistance for the climate aims to enable partner countries to implement the Con-vention on Climate Change and the Kyoto Protocol. At an overall level, the effort aims to contributeto sustainable development of the energy sectors in the partner countries. One significant elementinvolves targeted efforts to reduce CO2 emissions both in the short and long-term. This is to be ef-fected through both assistance for energy efficiency (both supply and consumption), energy savings,cleaner fuels, including renewable energy and institutional and capacity development, and throughan initiative linked directly to the convention and protocol.

Projects that support the Convention on Climate Change and the Kyoto Protocol

Since the energy sector programmes were launched in 1994 in some Eastern and Central Europeancountries, the EPSF has supported a host of projects on sustainable energy use. The projects haveaimed to promote energy efficiency, energy savings and cleaner fuels, including renewable energyin the partner countries. One important way of ensuring sustainable energy use is to provide assis-tance for capacity development, e.g. establish the basis for energy planning and developing plan-ning tools, etc. As part of the strategic activities, a number of projects on sustainable energy use willbe launched. The aim of these projects is, directly or indirectly, to reduce CO2 emissions. This workwill have a positive effect on the climate and thus support the convention and protocol.

When programming environmental assistance, goal-oriented efforts should be made to identify andlaunch projects that directly address the Convention on Climate Change and the Kyoto Protocol.This is the case for projects that prepare climate strategies in partner countries and for projects thataim to prepare and implement specific JI or CDM projects under the Kyoto Protocol in partnercountries. Projects that establish local capacity could be necessary for countries wishing to enterinto such cooperation.

Environmental assistance will focus on projects that support partner countries in their efforts to im-plement legislation that addresses climate considerations in energy policy. One example, whichconcerns only the EU membership applicant countries, is assistance with implementing the EU-SAVE directive, aimed at reducing the CO2 emissions of member countries through energy effi-ciency. This could include projects that provide legal assistance to secure the formal basic condi-tions for the SAVE directive, or projects that support the establishment of the institutional frame-work to ensure that the regulations of the SAVE directive are applied. Developing relevant and reli-able energy data and statistics is yet another obvious field of cooperation. Such an effort will oftenbe required if countries are to account for their emissions of greenhouse gases.

Carbon sequestration in agriculture, forestry and nature areas is part of a climate policy tool in theKyoto Protocol, which also discussed its possible application in the CDM and JI mechanisms. It is

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important that carbon sequestration does not cause non-environmentally sustainable development inagriculture or forestry, e.g. by establishing large monoculture plantations of fast-growing tree spe-cies. Instead it is to support sustainable development by securing the rehabilitation and expansion ofnatural vegetation. Social considerations should also be taken into account, so that carbon seques-tration is not established at the expense of food security. This can be ensured provided carbon se-questration measures are implemented in the framework of national policies, strategies and legisla-tion that aim for sustainable development, including the development of forest and natural re-sources. There could therefore be a need to strengthen the development and implementation of suchnational policies, strategies and laws, e.g. in the form of national biodiversity strategies, nationalforest programmes, forest legislation, nature protection laws, country planning, etc.

CDM faces many special administrative demands both with regard to the assessment of emissionreductions (as recipient countries are not obliged to reduce emissions) and criteria for what contrib-utes to sustainable development. Such a capacity development project is underway in South Africa.In the DANCED framework, the Danish Energy Agency and DEPA will promote:

• Building capacity, including prioritising local resources with the aim of preparing a climatestrategy and procedures for the execution of CDM projects.

• Preparing and implementing specific CDM demonstration projects.

In the Budget for 2001, EPSF funds have been allocated to support a programme that will plan howCDM, in agreement with the above, could be applied in the Danish measures to combat climatechange. Also, the international network cooperation in IEA/OECD is being supported with the aimof promoting the transfer of cleaner technology to developing countries and countries with econo-mies in transition. The funds are to finance the planning and launch of the future activities alone andnot projects as such. The specific measures of environmental assistance will be an extension of thisprogramme.

Climate project proposals in the Baltic Region

At a meeting in Helsinki in October 1999, the Energy Ministers of the Baltic region confirmed thatthe Baltic region should be developed as a testing ground for application of Joint Implementation,following COP6, which is to prepare the details of the guidelines for this purpose. The point of de-parture is that the Baltic region is a well-suited region for closer cooperation on climate.

The Baltic countries, Poland and Russia will have no immediate problems in meeting the stipula-tions of the Kyoto Protocol. On the contrary, since 1990, the baseline year, these countries haveexperienced a marked decline in CO2 emissions due to a production drop in energy-intensive indus-tries. For example, in 1997, Estonia’s CO2 emission level was 40% lower than in 1990, whereas thecountry’s obligation to reduce emissions is 8% according to the Kyoto Protocol.

But it is feasible that future growth will be based more on sustainable energy solutions and newtechnology. Particular areas in which cooperation could be further developed include combined heatand power production, savings at end-users, in district heating and renewable energy as well ascapacity development. When programming environmental assistance, the Danish Energy Agencywill aim its strategic initiatives towards supporting the partner countries in the Baltic Sea Regionalong these lines. Simultaneously, the initiative for promoting sustainable energy use in the energysectors in these countries will be strengthened through projects that are more directly aimed towards

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the Convention on Climate Change and the Kyoto Protocol, e.g. projects that implement climatemitigation strategies. These efforts will be coordinated with other bilateral and multilateral initia-tives. An example worth mentioning here is the World Bank National Strategy Studies Programme,which finances the preparation of climate strategies for transitional economies and developingcountries. It specifically includes the potential and strategies for using the Kyoto mechanisms. Thestrategies are financed partly by the World Bank and partly by national trust funds. Finland has thushelped to prepare such a strategy for Russia. Efforts are on-going, both in the joint Energy and En-vironment Group in the Nordic region and in the ad hoc group under the GSEO (Group of SeniorEnergy Officials), which was formed at the Helsinki meeting to prepare the testing ground. A keyissue is to ensure that projects are credible and that the process remains open. It is currently beingconsidered how the Nordic Investment Bank and the Nordic Environment Finance Corporation(NIB/NEFCO) can be involved in the process. Coherence with other activities in the area, such asthe Baltic Chain Project and implementing the Baltic 21 strategy must also be secured.

A “testing ground” is scheduled for launch in early 2003 and active Danish participation will benecessary if this goal is to be realised.

Relevant institution/division: DEA12 (Climate and Baltic Division), DEA13 (Division for Bilat-eral Cooperation, including environmental assistance in the climate sector).

Relevant web sites: www.unfccc.dewww.ens.dk

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5.2 THE CONVENTION ON BIOLOGICAL DIVERSITY

Description

The objectives of the Convention on Biological Diversity are to conserve biological diversity, to usebiological resources sustainably, and to ensure equitable distribution of the benefits derived fromusing genetic resources.

The convention was adopted at the Rio Summit in 1992 and came into force in 1993. As of Febru-ary 2000, 176 countries or parties have signed the convention, including all the partner countriesincluding Russia and the countries seeking EU membership. The Conference of the Parties is thehighest decision-making organ. There is also a scientific, technical and technological advisory bodythat advises the Conference of the Parties on the implementation of the convention. The secretariatfor the convention is located in Montreal, Canada.

The most import aspect of the convention is that it combines nature protection with the develop-ment imperative, and that biological diversity, in harmony with the perception of developing coun-tries, is considered mainly as a resource for humans and that its use must therefore be sustainable.Nature protection conventions have previously considered particular groups of species, ecosystemsor specific geographically delimited areas.

A keystone principle of the convention establishes the role of sovereignty of nation states over theirown natural resources. Natural resources are no longer considered as the collective, freely accessi-ble property of mankind. This is particularly important for developing countries, with their richbiological diversity. The principle implies that the utilisation of genetic resources is not to takeplace without the consent and conditions imposed by the country of origin, including the economicbenefits of exploitation.

The convention also establishes the principle that the exploitation of the knowledge of local andindigenous peoples and methods for sustainable use and conservation of biological diversity shouldoccur with their consent and involvement and that benefits of such application of indigenousknowledge should be shared with them.

The convention acknowledges that developing countries should have more financial and techno-logical resources to fulfil the obligations of protecting biological diversity.

The convention chiefly has the character of a framework convention, and its success depends onfollow-up in individual countries. Its wide scope is both its strength and weakness. The strength isthat it has a holistic approach and covers all aspects of biological diversity. Its weakness lies in itslack of focus on specific problems and it could therefore be considered less binding. The CartagenaProtocol on Biosafety agreed in 2000 is described in 5.3.

The major aspects of the five Conferences of the Parties of this convention held since 1994 havebeen: financial mechanisms, indigenous knowledge, cooperation with other conventions and forestsand biodiversity. The 1995 COP confirmed that the GEF would continue to be the financial mecha-nism of the convention. And at the fifth Conference of the Parties held in Nairobi in Kenya in May2000, the themes were biological diversity in arid and semi-arid areas, sustainable tourism and ac-cess to genetic resources.

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Principal obligations for parties and options for environmental assistance

As all present and imminent partner countries in both the East and South have signed the conven-tion, Danish environmental assistance is directed towards securing suitable legislation and imple-mentation.

Major obligations Options for environmental assistanceDeveloping/Integrating national biodiversitystrategies, plans and programmes to ensure bio-logical diversity.

Integrating the consideration of biological diver-sity in relevant sectors, as well as intersectoralplans, programmes and policies.

Building capacity to enhance the ability of ad-ministrative incorporation of relevant policies,strategies and sectors.

Preparing the required legislation (white papers).

Involving the public in the legislative processand public access to data.

Identifying and monitoring biological diversity. Supporting planning, registering data and build-ing capacity, and methods for data systematisa-tion.

Supporting improved, systematic registration andmonitoring of biological diversity involving thecentral authorities (to the extent that this hasbeen done already, it has largely been done byuniversities and research institutions).

Establishing protected areas and restoring depre-dated ecosystems and controlling the release ofalien species to protect habitats and conservebiological diversity.

Securing the protection and development of in-digenous knowledge and the knowledge of localcommunities in the sustainable use of biologicaldiversity.

Developing the knowledge base or administra-tive capacity in connection with projects to reha-bilitate nature. There will be a need to conductinvestigations of land-use, protection and use ofnatural resources by local communities and theenvironmental consequences for the surroundingareas.

Building up capacity and legislation to controlthe introduction of exotic species (ecological riskassessment).

Supplementing habitat protection by protectingbiodiversity ex-situ (in zoos, botanical gardens,gene banks, etc.)

Environmental assistance focuses on in situ pro-tection of biodiversity. Support can, however, beextended to seed projects where the focus is toprotect biodiversity at gene or species level.

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Executing educational and research programmesto conserve and utilise biodiversity and to sup-port such programmes in developing countries.

Building capacity, developing curricula, etc.,which can support interdisciplinary cooperationbetween research and educational institutionsand the central administration.

Information activities through rangers, environ-ment education, etc.

Carrying out environmental impact assessmentsprior to projects that may reduce biodiversity.

Training, and developing procedures, cross-sectoral cooperation on environmental impactassessments.

Developing procedures for including the publicin EIAs.

Developing scientific and technical cooperation,especially with developing countries, to imple-ment the convention and provide and facilitateaccess to technology.

Supporting the cooperation between research andadministrative institutions, e.g. through training,staff exchange and other cross-cutting coopera-tion.

Contributing to the development of systems thatcan support countries’ implementation of theconvention, e.g. by helping to develop databases,monitoring systems, etc.

Developing capacity and legislation in countriesof origin to establish a regime of consent andconditions for use by countries of origin in rela-tion to genetic resources.

Exchanging information between Parties on allissues relevant for biodiversity, includingthrough the convention’s clearing house mecha-nism.

Building capacity, and developing administrativeprocedures, training, etc, to ensure that partnercountries, as countries of origin for genetic re-sources, can effectively control the import andexport of genetic resources.

The following articles in the convention are particularly relevant to environmental assistance:

Article 20: Industrialised countries shall provide new and additional financial resources for devel-oping countries. The potential of developing countries to meet the obligations of the convention willdepend on the transfer of economic resources and technology with full consideration for the firstand principal priority accorded by developing countries to economic and social development andpoverty alleviation.

Article 21: Provision of a financial mechanism that will make available financial resources to de-veloping countries. The mechanism is operated by the Global Environmental Facility (GEF), whichis administered jointly by UNEP, UNDP and the World Bank and also operates the financialmechanism for the Convention on Climate Change.

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Recommendations from the Pan-European Landscape and Biodiversity Negotiations

At the Pan-European level, the Convention on Biological Diversity has been integrated into a Pan-European strategy. The strategy objective, which has a 20-year horizon, is to:

• Reduce the threats against biodiversity considerably• Strengthen the ecological continuity in Europe• Involve the public in conserving biodiversity

The strategy is part of the regional UNECE work and was approved by the Conference of Environ-ment Ministers in the Environment for Europe process in Sofia, in 1995. The fourth Conference ofMinisters was held in Aarhus, Denmark, where the Convention on Access to Information, PublicParticipation in Decision-making and Access to Justice in Environmental Matters was adopted. TheSecretariat of the Biological and Landscape Diversity Strategy is jointly run by the Council ofEurope and the UNEP regional office for Europe.

The Pan-European Biological and Landscape Diversity Strategy is accompanied by an action planfor the period 1996-2000. The plan is then to be reconsidered for the next 5-year period. The actionplan consists of 12 themes: The first four are of a general character, i.e. launching the strategy proc-ess itself, establishing the Pan-European ecological network, sector integration and informationactivity.

The eight other action themes are directed towards conserving the landscape, six specific types ofecosystems (coasts and marine ecosystems, river basins, freshwater areas, grassland ecosystems,forests and mountains) and, finally, endangered species. Each of the action themes includes sub-themes. It must be noted that questions of biotechnology do not form part of this strategy. A draft ofthe action plan for 2001-2005 is expected to be ready by spring 2001.

One integral part of the strategy philosophy is that development organisations are to integrate thepriorities of the action plan in their criteria for assistance. In that context, it can be stated that almostall the sub-themes of the action plan are relevant in the perspective of development assistance. De-velopment assistance can be extended as concrete projects in connection with landscape conserva-tion or forests. Moreover, both the build-up of knowledge related to the action themes and capacity-building in connection with the launching of a strategy process, especially sector integration, will berelevant.

The Pan-European strategy is by itself only relevant with regard to development assistance to East-ern and Central Europe. Environmental assistance projects that help these countries to implementthe Convention on Biological Diversity should therefore be matched to the work of these countriesunder the Pan-European process. In this connection, it can be mentioned that UNEP is working toestablish a “Biodiversity Service” that will be provided for the Eastern and Central European coun-tries to implement the strategy. Furthermore, in general, projects related to the Convention on Bio-logical Diversity will also be relevant to this strategy.

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Danish policy and strengths

Denmark has played an important role, both in generating and following up on the Convention onBiological Diversity. Denmark has consistently promoted a holistic approach towards both inte-grating environment and development perspectives and protection and utilisation.

Naturally, we are aware of the unfortunate consequence of the extensive scope of the convention,namely that the discussions and decisions in the framework of the convention become too generaland are not sufficiently action-oriented. It is actually to render the convention more action-orientedthat Denmark emphasises the promotion of bilateral project cooperation with developing countriesand Eastern and Central Europe, financed by GEF, other financing organs and individual donorcountries. We also emphasise that the Technical and Scientific Committee of the convention is toachieve greater professional power, while avoiding becoming political to the extent possible.

As regards individual elements of the convention, Denmark has specially prioritised the articulationof the provisions concerning a fair and equitable sharing of the benefits of genetic resources, espe-cially with regard to indigenous peoples. The success of the convention will be measured largely bythe manner in which these provisions are executed.

Denmark also has a specific prerequisite for helping internationally with implementing the Conven-tion on Biological Diversity, as the central administrative responsibility for nature, forest and cul-tural environment is located in the Danish Forest and Nature Agency. The OECD has, in its 1999assessment of Danish environmental policy, noted the experience Denmark has in its national envi-ronmental impact assessment and open decision-making process.

The Danish resource base with regard to the convention includes:

• Central and decentralised administration, as well as research institutions (NERI, DFLRI, etc.)with experience in biodiversity inventorisation, mapping and monitoring. DFSC with experi-ence in arboreal genetic resources and conservation in use as the approach method.

• Central and decentralised administration with experience in policy development, legislation andadministration.

• Central and decentralised authorities, research institutions and private enterprises with experi-ence in ecological risk assessment related to exotic species and genetically modified organismsas well as biotechnological research in general.

• Institutions, private enterprises and associations with practical experience in nature manage-ment, technology assessment, environmental education, public information, etc.

• Authorities, firms, associations and NGOs, etc. that are experienced in implementing projectsrelated to biodiversity conservation in developing countries.

Future strategic initiatives

Denmark should continue to enter into cooperation projects that range from being general and pol-icy generating, e.g. including capacity development and legislation, to being very concrete andtechnical.

Bilateral assistance in general - Danish as well as foreign - has focused on the “classical” conven-tion areas. Few projects have been implemented on the new and more controversial aspects of the

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convention, such as access to genetic resources, benefit sharing, the property rights of indigenouspeople to applications of their knowledge, and technology transfer - topics that should be givenhigher priority in the future work because they are given high political priority in Denmark.

Relevant environmental assistance projects

A large part of the environmental assistance projects that are launched in the “green area” in theEast and South are relevant to the Convention on Biological Diversity. Two concrete projects arenamed here to show the nature of projects relevant to bilateral cooperation in the context of theConvention on Biological Diversity.

South Africa: Developing a White Paper on Biological Diversity (1996-1998)

Financial support and consultancy for a consultative process that developed a biodiversity strategyto help implement the Convention on Biological Diversity. After the transition to a democratic re-gime, South Africa has launched a series of processes through which new policies are formulated ina range of specific areas. One of these areas is biodiversity. The project provided financial resourcesand a consultant from the Danish Forest and Nature Agency and transferred Danish experience toSouth Africa.

Danish contribution: DKK 1.03 million. Implemented by the Department of Environmental Affairsand Tourism in cooperation with DANCED.

Estonia: Protecting Biodiversity in Soomaa National Park (1997-2000)

The project aims to strengthen nature conservation in the 37,000 ha Soomaa National Park. Thearea includes extensive, undisturbed biological diversity including bogs, unregulated rivers andnatural forests with populations of brown bear, wolves, lynxes, otters, flying squirrels, eagles,woodpeckers, etc. The project includes developing a management plan, strengthening the admini-stration, establishing a visitors’ centre, adjusting regulations, developing eco-tourism and involvingthe local population.

Danish contribution: DKK 7,164,306. Implemented by Soomaa National Park (Ministry of Envi-ronment) in cooperation with DANCEE. Danish Consultancy Firm: Carl Bro International.

Relevant institution/division: DFNA16 (Division of International Cooperation)

Relevant web site: www.biodiv.org

Calendar: COP meeting in 2002 in the Netherlands.

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5.3 THE CARTAGENA PROTOCOL ON BIOSAFETY

Description

The Cartagena Protocol on Biosafety, related to the Convention on Biological Diversity, wasadopted on January 29, 2000, by about 130 countries and the European Union. The Protocol aims towork towards an appropriate level of protection for the safe transfer, treatment and use of livingmodified organisms (LMOs) that are the result of modern biotechnology.

In principle, the Protocol covers all LMOs that can have negative effects for the conservation andsustainable use of biodiversity. Risks to public health should also be taken into consideration (Arti-cle 4).

The Protocol provisions are concerned exclusively with the export and import of LMOs, while thenational regulation is covered in very general terms only.

The provisions for transboundary movement of LMOs, which make up the core of the protocol,vary depending on the LMOs in question.

The pivotal aspect of the protocol will be the future clearing-house mechanism that shall includeinformation about LMOs, summaries of risk assessments, legislation and other rules about LMOsand decisions taken with regard to the protocol (Article 20).

As regards multilateral financial resources, the Global Environment Facility has been nominated asthe financial mechanism that should finance initiatives for implementing the Protocol on Biosafety.A strategy for GEF activities is being prepared.

The Protocol was signed by 63 countries at the Conference of the Parties of the Convention onBiological Diversity in Nairobi in May 2000. 50 ratifications are required for the protocol to enterinto force. It can therefore only be expected to enter into force by early 2002.

Major obligations for parties and options for environmental assistance

There are various administrative systems depending on the purpose of a given LMO.

• The strictest regulations (Articles 7-10) are for LMOs destined for deliberate release into theenvironment. An Advanced Informed Agreement (AIA) between the exporter and country ofimport is required.

• As far as LMOs destined for feed, food or processing are concerned, other rules apply (Arti-cle11). The principle valid here concerns the responsibility of informing importing countries.These countries can then decide whether to accept the import, either on the basis of nationalrules or, in the case of developing countries or economies in transition, in harmony with somespecific rules in the protocol, including the risk assessment following detailed rules for Ad-vanced Informed Agreement (AIA).

• The documents accompanying a transboundary movement of LMOs must clearly identifyLMOs destined for release and for contained use. As far as LMOs destined for food, feed orprocessing are concerned, the documents of passage need only state that the shipment may con-tain LMOs not meant for release in nature.

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• Pharmaceutical LMOs destined for humans, LMOs in transit and LMOs destined for containeduse are generally not included by the protocol (Articles 5 and 6).

Some provisions also concern the unintentional transboundary movement of LMOs, for example, inthe cases of release or escape of LMOs that can adversely affect biodiversity or public health inother countries (Article 17).

However, the basic rules are the same for LMOs whether they are meant for release in nature or forfood, feed or processing.

Major obligations Options for environmental assistanceDeveloping national, regional and internationalcapacity to ensure the legal and administrativeregulation of gene technology for the protectionof nature, environment and public health.

Assessing the current biotechnological activitiesin the country.

Assessing the existing legal or administrativeguidelines that regulate the exploitation, exportand import of LMOs.

Identifying the relevant stakeholders for imple-menting the protocol.

Identifying the legislative changes that may berequired to implement the protocol.

LMOs destined for release in the environment.The exporting country must make an AdvancedInformed Agreement that provides all relevantinformation for the importing country before theimport can take place, the so-called AIA proce-dure.

Supporting capacity building, including supportfor the specific development of the AIA proce-dure concerning entering into agreements.

Carrying out educational activities and trainingprogrammes.

In connection with decisions based on the AIAprocedure, the importing country must carry outa risk assessment following a very detailed set ofrules in the protocol (Art. 15 and Annex II) and(if import is allowed) measures to regulate, ad-minister and control the identified risks must beimplemented (Article 16)

Helping to expand the knowledge base and pos-sible regional or bilateral cooperation betweencountries related to risk assessment and approvalprocedures.

Supporting cooperation between research insti-tutions.

LMOs destined for food, feed or further proc-essing. The exporting country must, within 15days, submit relevant information concerning itsapproval of such LMOs to potential importingcountries, via the protocol’s clearing housemechanism or as written material that must besent directly to the importing countries.

Preparing the legal framework and/or adminis-trative guidelines, including guidelines for riskassessment.

Support for registering data and data systemati-sation methods.

A national focal point in relation to the protocolsecretariat and one or more national, competentauthorities with regard to the protocol must bedesignated.

Supporting capacity development and coopera-tion between the relevant authorities and scien-tific institutions.

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Capacity building obligations for cooperation onthe development and/or strengthening humanresources and institutional capacity in connectionwith biosafety and biotechnology with specialregard to implementing the protocol in develop-ing countries and economies in transition (Arti-cle 22).

Exchanging staff and training course develop-ment.

Study tours, seminars held in Denmark or inrecipient countries - including developing a pro-fessional network with the Danish resourcebase.

Promoting public awareness e.g. in the form ofpublic access to information on LMOs that arelikely to be imported and on decisions regardingthe protocol. The public must also be consultedin connection with these decisions.

Assisting with communication and educationalactivities concerning the public, private enter-prises, etc.

Supporting the preparation of materials, proce-dures for informing relevant NGOs and others,and developing IT-based information systems.

Supporting the development of procedures forpublic involvement in approval procedures, in-cluding hearings.

Danish policy and strengths

Since the early 1980s, Danish policy has been that activities involving genetically modified organ-isms (GMOs) must be regulated to protect the environment and nature. The protection of humanhealth has also been high on the agenda in Danish regulations. Therefore, since 1986, Denmark hashad a “Law on Environment and Biotechnology”, regulating biotechnological activities, thus beingthe first country in the world to adopt this form of regulation.

Today, consideration for the environment/nature and human health is still central to the political andadministrative regulation of biotechnological activities. A high level of protection, where the pre-cautionary principle plays a significant role in preventing unintentional effects on the environment,nature and human health, is crucial for biotechnological application.

Over 15 years of experience and a tradition for regulating and administering the biotechnologysector have provided Denmark with extensive expertise in almost all aspects of biotechnology, in-cluding establishing administrative capacity, processing individual cases, assessing and managingrisks, and identifying and controlling GMOs. This expertise is concentrated mainly within DFNAand NERI and a number of private enterprises.

In addition, expertise in “soft” areas is currently being built up in Denmark, especially the ethicaldimension, but also regarding issues such as utility value, socio-economic effects (monopolies) andissues of indemnification and liability.

Denmark safeguards existing legislation and concrete cases also include involving the minister andthe government as well as Parliament in the decision-making process – which is different from theconditions in other EU member states. Also, Denmark has a tradition of public hearings, involvingorganisations, etc.

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Denmark already has close EPSF cooperation with a number of large developing countries wherethe need for capacity development in the area of biotechnology is particularly relevant, either be-cause these countries have started using the technology or are about to start, as an element in theirrapid economic development. The same applies for a number of Eastern and Central Europeancountries.

Future strategic initiatives

The objective for initiatives is for partner countries to be enabled to implement the protocol andmanage biotechnology in a justifiable way in relation to environmental, health, socio-economic andethical considerations.

This is to happen through helping countries to increase their technical and administrative compe-tence, securing a high level of protection through sufficient and qualified risk assessments and anapproval system based on the precautionary principle. Moreover, Denmark can assist with devel-oping and establishing inspection and control frameworks and procedures. Generally speaking, thepublic are to be involved in decision-making as far as possible, as should ethical aspects in politicaland administrative regulations.

As a result of the great need for capacity development in many developing and Eastern and CentralEuropean countries, Denmark should take the initiative to coordinate assistance with other donorcountries, including assistance under EU auspices. As far as the Eastern and Central European ac-cession countries are concerned, there should be a synergy effect between Danish assistance andimplementation relevant EU Directives and the Cartagena Protocol.

Relevant institution/division: DFNA16 (Division for International Cooperation), DFNA17 (Divi-sion for Agriculture and Biotechnology).

Relevant web sites: www.oecd.org/ehs/service.htmwww.biodiv.org/biosafe/protocol

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5.4 THE RAMSAR CONVENTION ON WETLANDS

Description

The convention aims to protect wetlands of international importance, especially as waterfowl habi-tat. The term “wetlands” is used here in a broad context and includes marsh, lakes, bogs, etc. andareas with brackish and saltwater of a depth of no more than 6 metres.

A wetland is considered of international importance, if:

• The area is regularly populated by at least 20,000 waterbirds• The area is regularly occupied by one percent of a population of a species or sub-species of wa-

terbirds• The area is significant for indigenous fish species in certain stages of their life cycle, or if the

representative fish species in the area constitute a major share of the global biodiversity• The area is a major foraging, spawning, nursing or resting ground for the survival of important

fish populations

This global convention came into force in 1975. In the past 5-10 years, it has achieved widespreadacceptance. There were 123 signatories as of January 2001. All the countries in the Baltic Regionhave ratified the convention. So far, 1060 wetlands have been nominated, with a total area of 80.6million ha.

Secretarial functions are looked after by the Ramsar Convention Bureau in Switzerland and aStanding Committee. There is close cooperation between the Ramsar Covention Bureau and theSecretariat of the Convention on Biological Diversity. In 1996, a Memorandum of Cooperation wasissued, on the basis of which the secretariats of the two conventions were to work together, ex-change information, coordinate work programmes and encourage the Parties to protect and managethe nominated wetlands in a reasonable manner. The Bureau likewise cooperates with GEF, whichhas approved an Operational Strategy that specifically refers to the Ramsar Convention in connec-tion with support for the protection of international wetlands.

A Conference of Parties is held every third year. The latest COP was held in San José, Costa Rica,in May 1999 and the next is to be held in Spain in 2002.

In recent years, more and more developing countries have signed the convention and recommenda-tions have been adopted for establishing a network of wetlands along the East Asian-AustralianFlyway, protecting mangroves and coral reefs, peat bogs, for impact assessments and evaluating theinfluence of local people when preparing local management plans.

In the years ahead, efforts will be concentrated on expanding sustainable use of wetlands to ensurethat all Ramsar areas gain the necessary protection, to increase the number of nominated areas andto mobilise international cooperation and financing for wetland conservation.

Major obligations for parties and options for environmental assistance

As most of the current and future partner countries in the East and South have joined the conven-tion, Danish environmental assistance will be principally directed at helping countries to develop

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sufficient legislation and implementation. There is however, also the possibility of EU accessionsupport.

Major obligations Options for environmental assistanceNominating at least one wetland area to theList (minimum requirement for ratifying theconvention).

Developing capacity with the aim of establishing aNational Wetland Committee and supporting theidentification of key persons in administration.

Preparing the necessary legislation.

Supporting better understanding of the areas of theconvention through e.g. study tours, training exer-cises, supporting government cooperation with re-search institutions and NGOs, etc.

Supporting building the knowledge base for furthernominations to the List of Wetlands.

Supporting initiatives that contribute to public in-formation and educational activities, especially inthe local areas (preferably as test cases) and pro-moting eco-tourism.

Helping to prepare and implement managementplans with local participation, and establishing in-stitutions, councils, etc. that can ensure long-termnational strategy after project completion.

Promoting the protection of listed wetlands.Countries are also to work to secure wetlandsin general, protect the ecological assets in theareas and ensure that the those areas are usedin an ecologically sound and sustainable man-ner. In other words, the other plants and ani-mals found in the areas must also be protectedfrom over-exploitation.

Helping to develop administrative capacity in in-stitutions responsible for protecting areas, e.g.through training, developing new/better monitoringprocedures, etc.

Supporting mapping and investigations in the iden-tified areas including catchment areas, e.g. hydrol-ogy, biodiversity, land use, resources and the sig-nificance of the area for local communities, impli-cations for local climate, as a buffer against floodsand maintenance of water supply and quality in alarger area.

Supporting the development of a National WetlandStrategy and Action Plan.

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Establishing nature reserves in the wetlandsand cooperating for the exchange of informa-tion and educating personnel to manage theareas.

Supporting training, education and exchanges, e.g.supporting cooperation between institutions at asufficiently local level to ensure the actual protec-tion of the wetlands.

Building up administrative procedures to ensurethat the necessary monitoring takes place.

Cooperating with other countries on wetlandsand species in wetlands common to the coun-tries.

Supporting the establishment of regional networks,e.g. training exercises for managers and adminis-trators, etc.

Reporting before every COP to the Secretariatand ensuring ongoing feedback on the ad-ministration and knowledge of the areas.

Supporting expansion of the knowledge base andthe systematic registration of data, and helping toproduce the National Inventory of Wetlands i.e. thestatus of wetlands (biodiversity, ecological func-tions, sustainable use, threats. etc.)

Danish policy and strengths

Denmark has nominated 27 areas as Ramsar sites, covering 740,000 ha, and has therefore gainedexperience in monitoring natural conditions in the areas and managing the sites in harmony with thewise use principles of the convention. As all Ramsar sites have subsequently been designated Spa-tial Protected Areas and nominated Sites of Community Importance (SCI) in the Natura 2000 Net-work, the administrative capacity has been further strengthened.

The knowledge base for nominations is founded largely on the national monitoring of waterfowlcarried out by NERI, which also coordinates the Wetlands International Database for waterfowl(“Seaduck”). While administering the sites, much experience has been accumulated on the effectsof the effluent of contaminants on the ecological balance and on the effects on waterbirds of hunt-ing, mineral extraction and establishment of technical systems such as windmills. Considerable ex-pertise has also been acquired in NERI and DFNA with regard to rehabilitating wetlands.

The Danish policy is to support the objectives of the Ramsar Convention in the Baltic Region andelsewhere. Through international projects that have been implemented or are being prepared, Den-mark has obtained experience of wetlands of international importance, implementation of the con-vention, wise use and rehabilitation of wetlands.

Future strategic initiatives

The effort to encourage the remaining countries to join the convention is prioritised, but the en-deavour to strengthen the protection and sustainable use of wetlands has been given high priority.Moreover the countries that have nominated sites are expected to re-establish and restore degradedwetlands. Denmark could contribute expertise in this connection. DANCED partner countries suchas South Africa, Namibia, Botswana, Thailand and Malaysia are all important in this regard. InEastern and Central Europe, nominating Natura 2000 Sites is part of the EU accession process. Thisis therefore closely related to implementing the Ramsar Convention, which makes environmentalassistance for the convention highly relevant.

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Relevant projects for environmental assistance

Several projects aimed at assisting the cooperation countries with implementing and fulfilling theobligations of the Ramsar Convention have been launched in environmental assistance programmesboth in the South and East. The following project serves as a good example.

Malaysia: Integrated Management of Tasek Bera (1996-99)

The project aimed at helping Malaysia to establish the basis for and begin implementing a manage-ment plan for this wetland in Peninsular Malaysia, Malaysia’s first Ramsar site. Tasek Bera is thelargest lake and wetland area in Malaysia. The project focused on demarcating the actual area of theTasek Bera Ramsar Site and on formalising protection of its buffer zone. Through baseline studiesof the biological conditions, a scientific basis for the sustainable management of the area has beenestablished. Guidelines have been drawn up for involving local communities in the area (includingseveral indigenous peoples) in the future management, and a foundation has been laid for the sus-tainable utilisation of the natural resources of the area. Finally, concepts have been developed foreco-tourism in the area.

Danish contribution: DKK 10.4 million.Implemented by: Wetlands International Asia-Pacific.

A follow-up of this project is in the pipeline for DANCED’s work in Malaysia for 2001 with sup-port for capacity development in the administrative unit that was subsequently established withabout 25 officers from a range of relevant departments.

Relevant institution/division: DFNA8 (Division for Natural Resource Management)

Relevant web site: www.ramsar.org (A List of Global Ramsar sites is available here.)

Calendar: Autumn 2002, COP8, Spain.

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5.5 CITES (The Convention on International Trade in Endangered Species ofWild Fauna and Flora)

Description

The CITES Convention aims to ensure that trade in species that are or could be endangered takesplace in a sustainable manner, thereby preventing a decline in the conservation status or range ofareas where the populations of given species are present.

CITES entered into force on July 1, 1975. Denmark joined the convention on October 24, 1977.CITES is considered to be one of the most effective and geographically extensive internationalagreements that concerns the protection of biodiversity. As of January 2000, 148 Parties have joinedthe convention, including the Baltic countries, though not Lithuania. Only the DANCED partnercountry Lesotho has not ratified the convention.

The CITES Secretariat (under UNEP) is located in Geneva, Switzerland. The Secretariat, in coop-eration with the Conference of the Parties, prepare summaries of the national reports. At an interna-tional level, there is an ongoing revision and adjustment of CITES on the basis of the decisionsmade at the Conference of the Parties.

Political decisions and decisions on upgrading and downgrading species on the various appendicesare made at the Conference of the Parties, which is held every 2 to 3 years. The next Conference,COP12, is scheduled to take place in Chile in the second half of 2002.

To ensure continuity in the interim periods between the Conferences of the Parties, a series ofcommittees, sub-committees and working groups have been established. The principal amongthem is the Standing Committee, the Fauna Committee and the Plants Committee, which con-sist of a number of member countries chosen at the Conference of the Parties. There are re-gions nominated globally that are represented by the aforementioned member countries.

CITES is implemented in the EU as a statutory ordinance, which implies that accession to theconvention is one of the criteria that Eastern and Central European countries have to meetwhen applying for EU membership.

Major obligations for parties and options for environmental assistance:

Major obligations Options for of environmental assistanceRegulating the trade in species covered byCITES in accordance with agreed proce-dures.

Nominating one or more authorities thatare authorised to issue permits for the im-port or export of species listed in CITES.

Developing capacity and building up the knowledgebase in the responsible authorities e.g. throughtraining programmes, helping to develop a systemfor the issuing permits, etc.

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Establishing conditions and prohibitingtrade in species listed in Appendix I andmonitoring the development of popula-tions of listed species.

This includes the conditions that:- penalise trade in or possession of

such species or units;- ensure the confiscation or repatria-

tion of such species or units to theexporting country.

Supporting the preparation of the legal basis and asystem of checks and control.

Supporting the development of procedures and co-operation between the administration and cus-toms/police authorities.

Registering trade in species or specimensthat appear in Appendices I, II and IIIthat include names of exporters and im-porters, numbers and categories of is-sued permits and certificates, the coun-tries with which such trade has takenplace, numbers or volumes and types ofunits and names of the concerned speciesin Appendices I, II and III.

Preparing a system for the permission of importand export of the concerned species.

Educating staff, training customs officers, etc.

Providing information for the public. Supporting the development of targeted informa-tion campaigns, developing information material,etc. for the tourist industry, the public, etc.

Nominating one or more scientificauthorities that will advise the ad-ministering agency about thesustainability of the trade and condi-tions for export and import permitsfor species in Appendix I.

Supporting the establishment and development ofcooperation between the scientific institutionsand administrative authorities.

More than 4,800 animals and 25,000 plants are included in the CITES Appendices according to thedegree of the threat of extermination. Control occurs primarily through registration of the trade by means of a certification system. Atotal trade ban is valid only for species that, when traded, are threatened by extinction. Theconvention is relatively specific in its administration, and flexible in that altered conditions(typically the increase or decrease in the number of a certain species) can be relatively quicklyadjusted by the administration.

As tropical and sub-tropical countries are often the sources of a variety of the species threatened byinternational trade, monitoring these species is decisive if the convention is to be effective. Execu-tion of control demands close cooperation between the permit-issuing authority, police and customsauthorities. Cooperation between different authorities has often proved to be problematic in devel-oping countries, where institutions are often new and the administrative capacity is often low.

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All EU member states have acceded to the convention and generally, there are stricter demands forimport to the EU area. Decisions are made by the EU Committee on Trade every quarter on the ex-tent to which certain species from countries with unreliable information may be imported. Withinthe EU, permits are required for the commercial use of species in Annex A of EU Regulation338/97.

Naturally, this poses great demands on Eastern and Central European countries that are in the EUaccession phase. The demands on these countries will therefore require that their legislation meetsthe demands for implementing CITES. Many applicant countries still lack the legal measures tofulfil the demands of the convention. Furthermore, these future member states will form the outerborders of the European Union.

Danish policy and strengths

The Danish resource base is relatively limited and currently consists of about 15 biologists, half ofwhom are directly associated with DFNA’s CITES unit - the Danish authority in question.

Close cooperation between the police and the customs authorities has been established and customsofficers have been trained. There is, however, only a limited specialised capacity in the Danish po-lice force and customs authority that could participate in environmental assistance. The customsauthority currently has 1-2 officers and the police force has one officer with special experience inenforcing the convention.

An information campaign on the CITES Convention was launched in 1999 and carried out in closecooperation with WWF Denmark, the tourist sector, the zoological gardens and DFNA.

Thus, Denmark has a relatively good basis for assisting with CITES in the areas of information andadministration.

Future strategic initiatives

Future initiatives ought to concentrate on Eastern and Central European countries on the thresholdof entry into the EU and on elaborating legislation that is in tune with EU ordinances, as well asproviding assistance with enforcing the convention. The background for concentrating efforts in theEast, and not in the South, is that Eastern and Central Europe face problems similar to those inDenmark, as they are also primarily import and transit countries.

Moreover, regional projects ought to be prioritised higher than national projects. A precondition fora well-functioning convention is international cooperation, including cooperation at borders. DFNAwill consult the CITES Secretariat in Geneva about planning and prioritising possible CITES proj-ects. The Secretariat’s expertise may well prove useful for project identification and implementa-tion.

Another option that ought to be considered in connection with a potential project formulation isestablishing contact with TRAFFIC, the organisation under WWF International that is actively en-gaged in CITES. TRAFFIC has regional offices worldwide, and TRAFFIC International’s office isin Cambridge, UK.

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Relevant projects

The following projects are examples of what environmental assistance projects could include:

Thailand: Wildlife Trade Awareness Campaign (2000-2001)

The project aims to ensure that both suppliers of products from wild animals and foreign tourists(primarily Nordic) who visit Thailand respect the legal rules that apply to trade in endangered ani-mals and to the threats that such trade constitutes to the biological diversity of the country. Theproject includes training programmes for the tourist sectors, government institutions and NGOs,building up cooperation and contacts with dealers in products from wild animals, and developingand distributing information materials for use in travel brochures, hotels, planes and airports.

Danish contribution: DKK 7.7 million.Implementing agency: WWF Thailand, in cooperation with WWF Denmark.Quality assurance of materials, etc.: Forest and Nature Agency, Denmark.

Estonia and Latvia: Implementation of the Convention on International Trade in Endangered Spe-cies of Wild Flora and Fauna (CITES) and related EU legislation (2000-2002)

Though both countries have become parties to the convention, they have yet to formally and fullymake the conventional legally and functionally operational. EU membership demands not only thatthe convention is implemented, but requires that rules are tightened. The project will help towardsimplementing CITES and the related EU Ordinances. It will also ensure the elaboration and adapta-tion of relevant legislation, development of registration and labelling systems, training of all in-volved authorities and stakeholders and the implementation of information campaigns. Activities inthe three Baltic countries will be coordinated through this project.

Danish contribution: DKK 6.4 millionImplementing agency: Danagro Adviser on behalf of DANCEE.

Lithuania: Protection of Endangered Species and Habitats through Implementation of the CITES,Bern and Bonn Conventions (2001 – 2003)

The CITES project in Lithuania will help to: Elaborate and adapt the necessary legislation, developa registration and labelling system, establish a well-functioning administration, and train all in-volved authorities. The relevant sectors are to be involved, and information campaigns carried out.CITES activities in Lithuania will be coordinated with activities in the other Baltic countries. Oneactivity under the project in Lithuania will elaborate management plans for selected species foundin Lithuania in relation to the Bern and Bonn Conventions. The management plans will likewiseinclude designated habitats of the selected pilot species. Activities linked to developing the man-agement plans will be coordinated with the relevant DANCEE projects in Lithuania, and the proc-ess will take place with the participation of the public.

Danish contribution: DKK 4.8 million

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Relevant institution/division: DFNA4 (Division for Game Management)

Relevant web sites:

Danish Forest and Nature Agency: www.sns.dk/cites/index.htmTRAFFIC: www.traffic.orgCITES Secretariat: www.wcmc.org.uk/CITES/index.shtmlEU Commission: www.wcmc.org.uk/species/trade/euWWF Denmark: www.wwf.dk/presse/vis.phtml?id=88

Calendar: 2002: COP12 Meeting in Chile

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5.6 THE BASEL CONVENTION

Description

The Basel Convention (BC) strictly regulates transboundary movements of hazardous wastes andimposes obligations on its Parties to ensure that such wastes are managed and disposed of in an en-vironmentally sound manner.

The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and theirDisposal was adopted in 1989 and entered into force on May 5, 1992. The convention is the re-sponse of the international community to problems caused by the annual world-wide production of400 million tonnes of wastes that are hazardous to people or the environment because they aretoxic, poisonous, explosive, corrosive, flammable, eco-toxic or infectious.

Denmark ratified the convention in February 1994 and it entered into force in Denmark on May 7,1994. As of March 2000, 134 countries are parties to the BC.

The main principles of the Basel Convention are:1) Transboundary movements of hazardous wastes should be reduced to a minimum consistent

with their environmentally sound management.2) Hazardous wastes should be treated and disposed of as close as possible to their source of gen-

eration.3) Hazardous waste generation should be reduced and minimised at source.4) Export of hazardous waste from annex VII to non-annex VII countries is banned (Annex VII

lists OECD, EU and Liechtenstein). Hazardous waste is defined in (Annex VIII of the BC).

In order to achieve these principles, the convention aims to:1) Control all transboundary movements of hazardous wastes.2) Provide assistance regarding implementation of BC.3) Provide assistance for the environmentally sound management of hazardous wastes.4) Monitor and prevent illegal traffic.5) Promote cooperation between Parties in this field.6) Develop manuals for the implementation and enforcement (illegal traffic) of BC.7) Develop technical guidelines for the management of hazardous wastes.

Governance of the conventionThe Bureau is responsible for directing the work of the Conference of the Parties. It consists of fivedelegates - the COP president, three vice presidents, and a rapporteur - who are elected by each ofthe five regional groups. Each subsidiary body also has its own bureau.The Extended Bureau is composed of actual Bureau members and previous Bureau members ofthe Conference of the Parties. It provides general policy and operational directions for the Secretar-iat between COP meetings.The Conference of the Parties (COP) is the governing body of the Basel Convention. It meetsevery other year to review the convention’s progress. The COP can establish subsidiary bodies asdeemed necessary to implement the convention. The next COP (COP6) is scheduled for 2002.Subsidiary bodies are the Legal Working Group (LWG), the Technical Working Group (TWG)and the Working Group for the Implementation of the Basel Convention.

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Cornerstones:1) The control system - Articles 6 - 9The Basel Convention has set up a very strict operational control system based on the prior writtennotification procedure and the requirement of prior written consent.

2) Management of hazardous waste - environmentally sound management (ESM). BC provides ob-ligations for its parties to ensure that hazardous waste is managed and disposed of in an environ-mentally sound manner. For that purpose, technical guidelines have been and are being developed.The "Decade Vision on ESM" (the BC work programme for the next decade) emphasises wasteminimisation, effective implementation and compliance and the need for capacity building.

3) The BanAt the second meeting of the Conference of the Parties (COP2) in March 1994, the parties agreed toan immediate ban on the export of hazardous wastes intended for final disposal from annex VIIcountries to non-annex VII countries (in popular terms from OECD to non-OECD countries). Theyalso agreed to ban, by December 31, 1997, the export of wastes intended for recovery and recycling(Decision II/12). At COP3 in 1995, it was decided that the ban should be formally incorporated inthe Basel Convention as an amendment (Decision III/1). The ban amendment has to be ratified bythree-fourths of the parties present at the time of the adoption of the amendment in order to enterinto force (i.e. 62 parties). At present only 20 countries have ratified the ban, of which seven arenon-European countries.

4) Liability ProtocolAt COP5 in December 1999, the Protocol on Liability and Compensation for Damage Resultingfrom Transboundary Movements of Hazardous Waste and its Disposal was adopted. It establishes astrict liability on the notifier and the obligation to insure or provide a financial guarantee for thisliability.

5) Regional Training Centres (RTCs)Article 14 of the convention provides for the establishment of regional training centres. The mainobjective of the RTCs is to strengthen the capacity of governments of the regions to implement theBasel Convention – both technically and legally/institutionally. At the moment, RTCs have beenestablished or are being established in Bratislava, Moscow, Pretoria, Cairo, Dakar, Beijing, Jakarta,Buenos Aires, Port of Spain, Montevideo, New Delhi and San Salvador. Recently, a strategy for thecentres was launched by the Secretariat and approved by the centres. The parties have also endorsedthe elements of the strategy. The main elements are institutional arrangements, financial strategyand framework activities and operational arrangements. The centre in Bratislava is ahead of theothers in implementing the strategy and serves as a model for the remaining centres.

Implementing the convention in Denmark/the EUThe convention is implemented in Denmark/the EU through Council Regulation 259/93 of February1, 1993 on the supervision and control of shipments of waste within, into and out of the EuropeanUnion.

The export ban on transport of hazardous waste from OECD to non-OECD countries is also imple-mented through the regulation. Annex V of the regulation contains a list of waste flows covered bythe export ban.

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Consequences for EPSF countriesThose EPSF countries that are not yet parties to the BC should aim to become parties – and ratifythe convention and the export ban and, in due time, also the protocol on liability. Countries that areparties should aim to ratify the export ban and the liability protocol.

As a minimum, EPSF countries that are already parties to the convention must establish administra-tive procedures to enable the control of transboundary movements of hazardous wastes in accor-dance with BC. A regulatory and enforcement infrastructure that ensures compliance with applica-ble regulations, including ensuring ESM in a broad sense, should also be established. As far asCentral and Eastern European accession countries are concerned, that requirement has already beenestablished through the council regulation that implements BC in the EU. The export ban is “sim-ply” an export ban for annex VII/OECD countries and not an import ban for the non-annex VII/non-OECD countries. In the future, the export ban obligation will apply to accession countries whenthey become EU members.

Concerning the Protocol on Liability and Compensation, countries have to establish a liability re-gime that is in accordance with the protocol – e.g. to establish strict liability for the notifier and thepossibility for insurance or other financial guarantee for that liability.

Project proposals supporting the Basel Convention

The proposals for activities mentioned below could be carried out either bilaterally or through theRTCs. For all proposals, it should be considered whether Denmark should support relevant NGOsor secretariats of the relevant IGO to carry out parallel activities, e.g. to promote the ratification andimplementation of the export ban.

Major obligations Options for environmental assistanceRatifying the export ban. Providing information, arranging work-

shops/training courses (DANCED).Feasibility study to uncover barriers for the non-ratification of the ban.

Signing and ratifying the liability protocol. Providing information and assisting countrieswith their efforts to ratify and implement theprotocol (DANCEE and DANCED).

Legal assistance regarding implementing theprotocol (DANCEE and DANCED).

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Implementing the BC. Capacity building projects focusing on adminis-trative and institutional strengthening, includingimplementing specific elements of the DecadeVision with emphasis on waste minimisation(DANCEE and DANCED).

Technical assistance for managing specificproblems of stockpiles of hazardous wastes (e.g.obsolete pesticides).

Guidelines - technical and institutional/admi-nistrative/legal (DANCEE and DANCED).

Environmentally sound management of hazard-ous waste.

Hazardous waste inventory and study of hazard-ous waste flows between countries.

Assistance with developing national strategiesfor minimising and preventing waste.

Danish policy and strengths

The export ban has always been a very high-priority issue in Denmark. Denmark put a lot of effortinto adopting the decision and since its adoption, its ratification and implementation have been em-phasised.

Another very important issue for Denmark is the relationship between Multilateral EnvironmentalAgreements (MEAs) and WTO. The overall objective for Denmark is to ensure that WTO respectsMEAs and instruments decided there (such as the ban) and to ensure that conflicts/disputes can bedealt with within the BC itself and are not transferred to a WTO panel for assessment. First step:Compliance mechanism - fighting for the establishment of a compliance mechanism to facilitateimplementation and enforcement of and compliance with the BC. Second step: Binding disputemechanism - fighting for the establishment of a binding dispute resolution mechanism within theBC. Possible coalitions could be very useful for Denmark when taking these steps.

Future strategic initiatives

As mentioned earlier, the Ministerial Declaration of COP5 emphasises waste minimisation, effec-tive implementation and compliance and the need for capacity building. In other words, the COPand the subsidiary bodies are moving their focus from developing technical instruments and assist-ing with solving problems of specific waste flows towards implementing the convention and itsamendments. The parties should assure that the principles of the convention, including the ban, ac-tually are being implemented and followed worldwide and should assist parties and future parties intheir effort to comply with these principles. The COP also placed the regional training centres highon the agenda as an effective tool for strengthening capacity building.

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Relevant institution/division: DEPA15 (Division for Commercial Wastes)

Relevant web site: www.unep.ch/basel/

Calendar: May 2002: COP6 in Geneva.

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5.7 THE POP CONVENTION (PERSISTENT ORGANIC POLLUTANTS)

Description

In 1997, UNEP’s Governing Council requested that UNEP establish an International NegotiatingCommittee (INC) to prepare a legally binding instrument aimed at reducing and/or eliminating en-vironmental problems caused by Persistent Organic Pollutants (POP).

The POP Convention aims to prohibit the production and use (and possibly import and export) of10 identified POP substances. In addition, the POP Convention aims to prevent, reduce and as far aspossible, eliminate emissions of two identified POP by-products. These 12 substances are all per-sistent in the environment; transported long distances far from their source, and bio accumulate inthe majority of living organisms. The 12 POPs that have been identified for a global initiative underthe Convention are aldrin, chlordane, dieldrin, DDT, endrin, HCB, heptachlor, mirex, PCB,toxaphene, dioxins and furans.

The first INC meeting on the POP Convention was held in 1998, followed by two INC meetings in1999. The last two INC meetings took place in 2000: INC 4 in Bonn, 20-25 March and INC 5(funded by DANCED) in South Africa 4-9 December. The Convention is expected to be signed at adiplomatic conference in Stockholm 21-23 May 2001.

Obligations for countries under DANCED and DANCEE

Adoption and ratification of the POP Convention is not expected to have visible consequences forDanish legislation, as the 10 appointed pesticides and industrial chemicals are already banned inDenmark. Denmark has already started several of the initiatives on legally binding restrictions forthe two by-products (dioxins and furans), which will become obligatory under the POP Convention.Ratification of the POP Convention in developing countries and countries with economies in transi-tion will have consequences for the Danish grant programmes, as ratification in those countriescannot be expected without financial contributions and technical assistance from donor countries.

For developing countries and countries with economies in transition, the POP Convention will im-ply that many new initiatives must be launched, generating a need for financial assistance. At cen-tral authority level, administrations in developing countries are often weak. Even in situationswhere the necessary knowledge is available and where legislation is in place, capacity may beneeded to ensure that legislation is effectively implemented. At decentralised authority level, thenecessary knowledge is often not available and therefore legislation is not enforced. For this reason,capacity building should be the cornerstone of Danish programmes of assistance.

Financial assistance will be needed, particularly in relation to the following obligations in the POPConvention.

Prohibition of production and use

Countries that ratify the POP Convention are obliged to take legal measures to phase out the pro-duction and use of POPs listed in Annex A of the convention. Nine substances is listed in Annex A(aldrin, dieldrin, hexachlorbenzene, toxaphene, chlordane, endrin, heptachlor, polychlorinated bi-

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phenyls (PCB) and mirex). For PCB, an overview must be compiled of the products already in usethat contain PCB and that are accumulated in society in order to remove PCB from such products.The countries must generate the knowledge and capacity needed to provide an overview of the pro-duction and use of the eight substances. In addition, the countries must take the necessary legalmeasures to ensure that production and use of the nine substances are phased out. Knowledge of theproduction and use of alternatives is also necessary. Finally, the countries face the major task ofenforcing and controlling the ban on production and use.

Restricted production and use

Countries that ratify the POP Convention are obliged to take legal measures to phase out the pro-duction and use of POPs with the exception of those substances listed in Annex B of the conven-tion. One substances has been listed in Annex B (DDT).

The countries must restrict the production and use of DDT in accordance with WTO guidelines fordisease vector control.

Minimising emissions

The existing convention text introduces a long-term goal for eliminating POP emissions, where fea-sible. Countries that ratify the POP Convention will have to take the necessary steps to prevent andminimise emissions of dioxins and furans, which are listed in Annex C of the convention.

The convention describes the steps each country must take in order to reduce/eliminate emissions ofdioxins and furans. Examples are provisions for substituting products, processes and materials thatgive rise to emissions of dioxins and furans. Countries must also formulate and adopt national ac-tion plans which, as a minimum, include an inventory of emissions of dioxins and furans and theirsources.

The drafting of such national action plans represents a major task for many developing countriesand countries with economies in transition. At present, the majority of these countries have nooverview of existing emissions or their sources. As Central and Eastern European countries havealready signed the UNECE POP Protocol (the Aarhus Protocol) and as this protocol contains provi-sions for minimising and reducing emissions that are similar to the provisions of the POP Conven-tion, a specific project could be implemented that aims to ratify the POP Protocol in a selected East-ern European Country. This “demonstration project” could show other Central and Eastern Euro-pean countries how both the POP Protocol and later the POP Convention can be ratified.

Ban on new substances

The existing draft text of the POP Convention includes an article on new substances. Countries rati-fying the Convention must, if they have one ore more regulatory or assessment schemes for newpesticides and industrial chemicals, take measures which aim to prevent the production and use ofnewly developed pesticides and industrial chemicals with POP characteristics.

Continuous, updated knowledge of chemical substances and their inherent properties is necessary toprevent the production or marketing of new POPs. Developing countries cannot be expected toknow enough about the many different chemicals. Therefore, general capacity building will be

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needed in the area of chemicals and their inherent properties within the authorities in the developingcountries.

Waste management

The text concerning the management of POP waste or waste contaminated with POPs (e.g. textilesor wood treated with POPs) includes specific provisions for the destruction of POP waste and,where destruction is not possible, environmentally sound management and disposal of POP waste isto be carried out.

Environmentally sound management, disposal and destruction of POP waste will require the devel-opment of capacity in the developing countries and/or controlled transport of certain wastes for en-vironmentally sound destruction in other countries. The necessary assistance within the area ofwaste should be co-ordinated with the Danish priorities in relation to the provisions of the BaselConvention. In addition to the need for general capacity building in the area of waste management,there will be a need for projects related to specific POP waste streams (e.g. PCB: collection, re-placement and management of transformers and other wastes containing PCB).

Which projects should DANCED and DANCEE support?

For both DANCED and DANCEE, a general objective could be introduced to ensure that Danishenvironmental assistance programmes comply with the obligations stated in international conven-tions in the area of chemicals. In particular, developing countries as well as countries with econo-mies in transition must be able to ratify existing and future chemical conventions.

The following project proposals could be relevant in relation to the forthcoming ratification of thePOP Convention.

Major obligations DANCED project options DANCEE project optionsProhibiting theproduction anduse of:aldrin, endrin,HCB, toxaphene,chlordane, diel-drin, heptachlor,polychlorinatedbiphenyls andmirex

a. Building capacity at all levels ofthe administration, which shouldlead to an overview of the produc-tion and use of the nine POPs.

b. Developing the necessary legalmeasures to ensure that none of thenine POPs are produced or used(including control and enforcementof the ban on production and use).c. Building up knowledge on pro-duction and use of alternatives.d. Compile an overview of prod-ucts containing PCB that are al-ready in use and therefore accu-mulated in society.

a. Building capacity at all levels ofthe administration, which shouldlead to an overview of the produc-tion and use of the nine POPs.

b. Developing the necessary legalmeasures to ensure that none of thenine POPs are produced or used(including control and enforcementof the ban on production and use).c. Building up knowledge on pro-duction and use of alternatives.d. Compile an overview of productscontaining PCB that are already inuse and therefore accumulated insociety.

Limited produc-tion and use ofDDT

a. Identifying the necessary use ofDDT for disease vector control

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Minimisation ofemissions of:dioxins andfurans

a. Drafting and adopting a nationalaction plan that includes an in-ventory of emissions of dioxinsand furans.

b. After obtaining the overview ofemissions and sources, measuresmust be taken to prevent, minimiseand in the long term eliminate theemission of dioxins and furans,where feasible.

a. As the Central and Eastern Euro-pean countries have signed theUNECE POP Protocol, which in-cludes provisions to minimiseemissions of dioxins and furans, aproject to ratify the POP Protocolcould be initiated in a selectedcountry.b. Drafting and adopting a nationalaction plan that includes an inven-tory of emissions of dioxins andfurans.

Ban on new POPs a. Building capacity in the area ofchemicals: updated knowledge ofchemical substances and their in-herent properties.

a. Building capacity in the area ofchemicals: updated knowledge ofchemical substances and their in-herent properties.

Waste manage-ment

a. Building capacity in developingcountries to enable them to man-age POP waste and/or performcontrolled transport of specificPOP waste for environmentallysound destruction at home orabroad.b. Implementing projects for spe-cific POP wastes (e.g. PCB: Col-lection and management of trans-formers and other wastes contain-ing PCB).

a. Implementing projects for spe-cific POP wastes (e.g. PCB: collec-tion, replacement and managementof transformers and other wastescontaining PCB).

Danish policy and strengths

As mentioned in the Danish Environmental Protection Agency strategy on chemicals, the majorglobal challenge is to develop and support international conventions to phase out the production anduse of hazardous chemicals. In addition, it is important to ensure that developing countries partici-pate actively in global negotiations and ensure that future Conventions include financial mecha-nisms that will facilitate the transfer of financial and technical support to developing countries tofacilitate implementation.

Capacity building within authorities in developing countries and countries with economies in tran-sition is to be done to create opportunities for authorities to develop and enforce national legislationand obligations pertaining to international conventions.

It is important that Danish grant programmes do not give priority solely to ratification of the futurePOP Convention. Work should also focus on ratifying those conventions already adopted, such asthe Montreal protocol (ozone depleting substances) and the PIC Convention (prior informed consentprocedures for chemical substances).

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The project proposals mentioned in this paper relating to the provisions in the future POP Conven-tion are also relevant for the provisions in the PIC Convention. Particularly, knowledge and capac-ity must be generated regarding regulation of chemicals to implement the provisions of both the PICConvention and the future POP Convention.

For selected Central and Eastern European countries, where there is already sufficient knowledgeand capacity in the area of chemicals, the link between the PIC Convention and the future POPConvention can be used actively. For example, the condition for granting support for projects aimedat ratifying the POP Protocol or the POP Convention could be that the PIC Convention must beratified. Thus, a synergy effect would be obtained in the Danish grant programmes in relation toratification of international Conventions on chemicals. A targeted Danish environmental assistanceprogramme for capacity building in the area of chemicals would also serve another long-term pur-pose, as developing countries and countries with economies in transition would be better preparedfor negotiating future Conventions. Finally, the Danish contribution to international discussions onchemicals can be improved through the creation of a reliable alliance with developing countries andcountries with economies in transition, which will increase opportunities for joining fruitful alli-ances in future negotiations.

Relevant institution/division: MST13 (Division for Biocides and Chemical Assessment)

Relevant web site: http://irptc.unep.ch/pops/

Calendar: May 21-23, 2001: Signing of the convention in Stockholm.

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5.8 THE ROTTERDAM CONVENTION (PIC, PRIOR INFORMED CON-SENT)

Description

The PIC Convention requires exchange of information on certain banned or severely restricted haz-ardous pesticides and industrial chemicals. Export can take place only with the prior informed con-sent of the authorities of the importing country. The objective of the convention is to promoteshared responsibility between exporting and importing countries. The 31 chemicals presently in-cluded in the PIC Convention are listed in Annex 1 of this section.

The growth in world trade in chemicals in the 1960s and 1970s led to increasing concerns about therisks of using hazardous chemicals. These concerns led, for example, to the development of theLondon Guidelines for the Exchange of Information on Chemicals in International Trade in 1987under the auspices of UNEP. The voluntary PIC procedure was added in 1989.

Denmark signed the PIC Convention at the Diplomatic Conference in Rotterdam in September1998, but has yet to ratify it. The convention will enter into force when it has been ratified by 50states. By mid-January 2001, 73 countries had signed and 12 had ratified the convention. Annex 2lists DANCED and DANCEE partner countries that have signed and ratified the convention.

The governments negotiating the PIC (Rotterdam) Convention agreed to apply the new proceduresrather than the procedures of the old, voluntary PIC scheme until the convention formally entersinto force.

Main principles of the convention:• More chemicals that trigger the prior informed consent procedure are to be added to the list.• When a chemical that is banned or severely restricted for use domestically is to be exported,

notification must be sent to the importing country and consent received in advance.• When the import is accepted, the chemicals are to be labelled by the exporter in a manner that

adequately describes the risks and hazards to human health and the environment – includingsafety data sheets if the chemicals are to be used industrially.

• Decisions on refusing import must be neutral, i.e. all import and domestic production of thechemical must be stopped.

Implementing the convention in Denmark and the European UnionThe voluntary PIC procedure is implemented through Council Regulation No. 2455/92 (and subse-quent revisions) concerning the export and import of certain dangerous chemicals. The regulation isto be changed to bring it into line with the new PIC Convention. The process is scheduled to be ini-tiated by the Commission by mid-2001.

Regulation No. 2455/92 has a wider scope than the PIC Convention, as not only the export of PICsubstances, but all substances that have been banned or severely restricted within the EU are subjectto notification.

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Obligations for EPSF beneficiaries

One important aspect of the PIC Convention is that if a party refuses to import a PIC substance, anydomestic production and use must be banned or severely restricted for the purpose the import wasintended. The country rejecting the import of the PIC substance must have the national capacity toassess the socio-economic consequences of the rejection. Also, legislation is needed as the basis forbans and restrictions.

Countries must be aware of the chemicals being produced or imported into the country and the sec-tors in which they are used. Efficient structures for decisions on whether or not to accept the importmust also be established.

Major obligations Options for environmental assistanceRatification (none of theDANCED/DANCEE coun-tries have ratified the con-vention).

Assigning a contact person to assist with paperwork by e-mailto support the actual legal/formal ratification process.

Surveying the situation(Article 5).

A survey of which PIC chemicals the DANCED andDANCEE countries use or accept for certain uses would berelevant. Also, a list of all chemicals banned or severely re-strictions at the time the convention enters into force shouldbe made – such a report should be forwarded to the PIC Sec-retariat (unless this has already been done under the LondonGuidelines).

The parties to the conventionare to establish and strengthenthe national infrastructure andinstitutions needed to effec-tively implement the conven-tion, including introducing oramending legislation and ad-ministrative procedures (Arti-cle 15).

Projects in both DANCED and DANCEE countries could bebased on sound management of chemicals throughout theirlife cycle. The project should include elements such as estab-lishing a product register/database listing chemicals used inthe country. Awareness initiatives should be promoted amongboth the industry and consumers on safe management andhandling of chemicals. Safer alternatives should also be pro-posed.

Existing legislation should be amended or new laws intro-duced to enable the country to ban or severely restrict importsand production of hazardous chemicals. Planning and per-formance of enforcement activities should form part of thistype of project.

Effective administrative procedures that define the responsi-bilities and sphere of authority for all stakeholders involvedcould be established, e.g. to meet the obligation of makingtimely decisions on whether or not the import of a certainchemical is acceptable. An aspect of this project could be –where necessary – to establish (or modify) a registration andcontrol system for incoming and outgoing mail/documents,i.e. a filing system, and general procedures for handling pa-perwork.

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The parties are to develop theinfrastructure and capacity tomanage chemicals under theconvention (Article 16).

Capacity building projects will be very relevant, at least inDANCED countries. These should include training in evalu-ating the scientific documentation that is forwarded as part ofthe information procedure to enable the country to makesound decisions on whether or not to accept an import. Train-ing in how to find more information, i.e. in operating interna-tionally accessible databases on chemicals, is relevant. Part ofthis project should be to evaluate if the necessary human re-sources are assigned – both relating to education and whethermanpower is sufficient.

An element of this kind of project could be to train local“teachers” in the safe use of the various hazardous pesti-cides/chemicals, hygiene, safe storage, etc. These teachersshould then tour the country and instruct those using the pesti-cides/chemicals.

Accident reporting (Article6).

Establishing structures for accident reporting for severely haz-ardous pesticide formulations. Developing countries andcountries with economies in transition that experience prob-lems caused by severely hazardous pesticides may proposethat such pesticides become PIC substances. For this to hap-pen, the country must, for example, describe incidents relatedto the problem, including adverse effects. A project could beto make a focal point where reports on experiences could becollected and to develop a report form in order to standardiseaccident reporting.

Substitution. Through PIC procedure and regulation 2455/92, DANCEDand DANCEE countries will receive information prior to im-porting PIC chemicals and chemicals that have been bannedor severely restricted in the EU. Relevant alternatives must besuggested if the countries are to be in a realistic position toreject a particular import. Such a project is a key element formaking maximum use of the circulated information. The out-put should be a list of relevant alternatives based on socio-economic considerations in each country, indicating produc-ers/wholesalers and other information that will facilitate apossible substitution.

Danish policy and strengths

Section 5.7 on Danish policy under the POP Convention may be referred to for an introduction.

The Rotterdam Convention is so recent that it has not yet come into force and a significant objectivefor the Danish work is to support its ratification. Until the Rotterdam Convention comes into force(after ratification by 50 countries), the existing voluntary Prior Informed Consent procedure will beapplied with the modifications stated in the convention. In practical terms, the Rotterdam Conven-tion is already being applied voluntarily. The Danish focus should aim to get as many substances as

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possible included in the list, to give the importing countries a qualified basis for permitting or bar-ring the import of hazardous pesticides and industrial chemicals.

It is also crucial to ensure that the finalised convention has a real influence. This implies that thespecific realisation of the articles of the convention on technical assistance should be prioritised,primarily with regard to training relevant personnel and ensuring that the needed administrativeprocedures are introduced or strengthened.

Future strategic initiatives

In the near future, the main task is to get the voluntary Rotterdam Convention to function. In themedium term, a key issue would be to get the Decision Guidance Document altered to include rele-vant alternatives and possibilities for substitution. This will support the countries’ real scope forrejecting the import of a PIC substance.

Another significant action area should be, in cooperation with the other EU countries, to get con-sumer products covered by the convention to be considered in an independent category with relationto which the import could be rejected or permitted. The convention currently includes only pesti-cides and industrial chemicals and import can be prohibited for either one or both categories. Byadding chemicals for private consumption as an independent category, a country could permit theuse of the substance in industry or agriculture, but not by private consumers.

Relevant institution/division: DEPA13 (Division for Biocides and Chemical Assessment)

Relevant web sites: www.fao.org/ag/agp/agpp/pesticid/pic/convlist.htmwww.irptc.unep.ch/pic

Calendar: 2001, October 7-12: INC8, Rome, Italy.

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ANNEX 1

Chemicals subject to the PIC procedure (December 2000)

Name Pesticide Industrial chemical POP substances2,4,5-T XAldrin X XBinapalcryl XCaptafol XChlorobenzilate XChlordane X XChlordimeform XCrocidolite XDDT X XDieldrin X XDinoseb X1,2-dibromoethane (EDB) XEthylene dichloride XEthylene oxide XFluoroacetamide XHCH XHeptachlor X XHexachlorobenzene X XLindane XMercury compounds XMethyl-parathion (some for-mulations)

X

Methamidophos XMonocrotophos XParathion XPentachlorophenol XPhosphamidon XPolybrominated biphenyls(PBB)

X

Polychlorinated biphenyls(PCB)

X X

Polychlorinated terphenyls(PCT)

X

Toxaphene X XTris (2,3 dibromopropyl)phosphate

X

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ANNEX 2

List of DANCED and DANCEE partner countries that have signed and ratified the PIC Convention

Country Signature RatificationDANCED partner countriesBotswana No NoLesotho No NoMalaysia Yes (final act) NoNamibia Yes NoSouth Africa Yes (final act) NoSwaziland No NoThailand No NoDANCEE partner countriesBelarus No NoBulgaria No YesCzech Republic Yes YesEstonia No NoHungary Yes YesLatvia No NoLithuania No NoPoland Yes (final act) NoRomania No NoSlovak Republic No NoUkraine No No

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5.9 THE AARHUS CONVENTION

DescriptionThe Convention on Access to Information, Public Participation in Decision-Making and Access toJustice in Environmental Matters (Aarhus Convention) was adopted at the 4th Ministerial Confer-ence “Environment for Europe” in Aarhus, Denmark, on June 25, 1998. The convention will comeinto force 90 days after 16 states have ratified it.

When the period for signature closed on December 21, 1998, 39 states and the European Commu-nity (EC) had signed the convention. At the first meeting of signatories in Chisinau, Moldova, inApril 1999, 23 European and Central Asian countries indicated that they would ratify the conven-tion by the end of 2000. As of May 2000, seven countries have ratified, acceded to or approved andbecome parties to the Aarhus Convention.

Though a UNECE (United Nations Economic Commission for Europe) convention, the AarhusConvention will also be open to member states of the United Nations from outside the UNECE re-gion once it has entered into force. It is therefore a “global” convention.

The overall convention objective is to ensure that the general public has certain rights in the envi-ronmental sector. The preamble emphasises two concepts: (1) Environmental rights as human rightsand (2) the importance of access to information, public participation and access to justice for sus-tainable and environmentally sound management. It is the first international convention that recog-nises the public’s right to live in a healthy environment, which is a unique milestone in internationallaw.

The convention defines “environmental information” broadly, covering basically all kinds of infor-mation held by public authorities related to the elements of the environment and their interaction,including human health and conditions of human life.

Obligations for parties to the convention

The convention is based on three “pillars” that are essential indicators for a democracy: Access toinformation, public participation and access to justice. The three pillars are equally important forfully implementing the convention objective.

Pillar 1: Access to environmental information

The convention provides a number of substantive rights with respect to environmental informationheld by public authorities. It requires parties to:

• Ensure that public authorities make environmental information available to anyone request-ing it as soon as possible and, at the latest within one month, unless the information comesunder certain specified exceptions.

• Define the practical arrangements by which such information is made available, e.g. publicauthorities intending to charge for supplying information must provide applicants with a listof charges that may be levied.

• Provide a system for judicial or administrative review if a person considers that his requesthas been unreasonably refused or inadequately answered.

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The convention stipulates that public authorities have a positive duty to possess and update envi-ronmental information, including mandatory establishment of systems to ensure an adequate flow ofinformation on proposed and existing activities. In the event of any imminent threat to human healthor the environment, all information that may enable the public to take preventive or mitigatingmeasures is to be communicated immediately.

Governments must inform the public of the types of environmental information held by publicauthorities and how it may be obtained. They must also establish and maintain practical arrange-ments for making this information accessible, e.g. publicly accessible lists, registers or files, andidentification of points of contact. In addition, parties are to make environmental information pro-gressively available in electronic databases that are easily accessible to the public. Finally, partiesare to establish a coherent, nationwide system of pollution inventories or registers compiled throughstandardised reporting and made available in a computerised and publicly accessible database.

Pillar 2: Public participation in environment-related governance decisions

Parties are required to provide the public with the opportunity to participate in decisions made byauthorities concerning whether to allow certain proposed activities to proceed that may have a sig-nificant effect on the environment. The convention’s Annex I lists categories of activities for whichEnvironmental Impact Assessments (EIAs) with public participation are mandatory (e.g. certainactivities within the energy sector, production and processing of metals, mineral industry, chemicalindustry, waste management, etc.). It specifies the information to be given to the public and the pro-cedures for consulting the public. There are also provisions for public participation in decisionsconcerning operating permits, as well as during the preparation of plans, programmes and policiesrelated to the environment.

The parties are also to promote effective public participation during the preparation of laws, rulesand legally binding norms. Participation is to occur at an appropriate stage while options are stillopen, and the results of the participation are to be taken into account “as far as possible”.

Pillar 3: Access to justice

Parties to the convention are required to ensure the right to go to court or another independent andimpartial review body in three situations:

• The right to appeal decisions made by public authorities in cases where requests for informationare refused.

• The right to challenge the substantive and procedural legality of a decision, act or omissionsubject to the convention’s provisions with respect to public participation in decisions on spe-cific activities.

• Access to administrative or judicial procedures to challenge acts or omissions by private personsand public authorities if those acts or omissions violate provisions of national environmentallaw.

Access-to-justice procedures are to provide adequate effective remedies and not be prohibitivelyexpensive. Parties may establish appropriate assistance mechanisms to remove or reduce financialand other barriers to access to justice.

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Major obligations Options for environmental assistanceAccess to information

Making environmental information available on re-quest as soon as possible, at the latest within onemonth; extension of up to two months only if justi-fied.

Assisting with setting up administrative systems forquick response to public requests, including guide-lines for civil servants.

Defining the practical arrangements by which suchinformation is made available, e.g. public authoritiesintending to charge for supplying information mustprovide applicants with a list of charges that may belevied.

Devising regulations that define how various levelsof government are to make information available.

Assisting with devising a system of reasonable leviesfor providing various kinds of information.

Providing a system for judicial or administrativereview, if a person considers that his request hasbeen unreasonably refused or inadequately answered.

Devising regulations that define judicial and admin-istrative review processes.

Compiling citizens’ guides that explain how to ob-tain environmental information from public authori-ties and seek judicial or administrative review ifnecessary.

Possessing and updating environmental information,including mandatory establishment of systems toensure adequate flow of information on proposed andexisting activities.

Assisting authorities with designing informationsystems and upgrading monitoring systems so thatup-to-date information on environmental quality, etc.is regularly collected (e.g. the Moldova project be-low).

Immediately disseminating all information that couldenable the public to take preventive or mitigatingmeasures in the event of any imminent threat to hu-man health or the environment.

Devising regulations that define terms and ways forinformation to be disseminated.

Assisting with establishing a system for broad publicaccess to information on preventive or mitigatingmeasures (e.g. via web sites, TV and radio an-nouncements, etc.).

Informing the public about the types of environ-mental information held by public authorities andhow it may be obtained.

Assisting governments with registering informationand launching campaigns to inform the public aboutwhich information is held by whom, where and howto obtain it.

Establishing and maintaining practical arrangementsfor making environmental information accessible,e.g. publicly accessible lists, registers or files, andidentification of points of contact.

Assisting public authorities with setting up necessarystructures for making environmental informationaccessible (e.g. establishing environmental informa-tion centres).

Making environmental information progressivelyavailable in electronic databases easily accessible tothe public.

Assisting public authorities with setting up electronicdatabases that are easily accessible to the public,including hardware provision.

Running training workshops for citizens and NGOson information retrieval.

Taking steps to establish a coherent, nationwidesystem of pollution inventories or registers compiledthrough standardised reporting that is available in a

Assisting public authorities with setting up a com-puterised system of nationwide pollution inventoriesor registers, including training sessions for civil ser-

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Major obligations Options for environmental assistancecomputerised and publicly accessible database. vants on how to use and update this system, and

training workshops for the public on how to accessit.

Public participationProviding the public with the opportunity to partici-pate in decisions made by authorities concerningwhether to allow certain proposed activities to pro-ceed that may have a significant effect on the envi-ronment.

Assisting public authorities with developing the ca-pacity to implement public participation require-ments.

Compiling citizens’ guides explaining EIA proce-dures, mandatory requirements for public participa-tion in EIAs for Annex I projects, and existing op-portunities under national laws for involving thepublic in decision-making.

Providing the public with the opportunity to partici-pate in decisions concerning operating permits, andtake part in preparing plans, programmes and poli-cies related to the environment.

Defining regulations for administrative processesthat include public participation in making decisionsconcerning operating permits, and preparing plans,programmes and policies related to the environment.

Implementing pilot projects to develop public par-ticipation procedures appropriate for the recipientcountry.

Establishing small-scale grant programmes to pro-mote public participation in making decisions con-cerning operating permits, and in preparing plans,programmes and policies related to the environment.

Striving to promote effective public participation atan appropriate stage during the preparation of laws,rules and legally binding norms.

Assisting public authorities with setting up adminis-trative procedures that provide advance notice to thepublic on upcoming laws, rules and norms, sufficienttime for public comments and taking into accountpublic input.

Access to justiceProviding the public with the opportunity to go tocourt or another independent and impartial reviewbody to request the review of potential violations ofthe convention.

Assisting governments with drafting regulations thatinclude the review of potential violations of the con-vention.

Compiling citizens’ guides on access to justice.

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Providing review procedures relating to informationrequested under Article 4.

Providing review procedures related to public par-ticipation under Article 6 and other relevant provi-sions of the convention.

Providing the public with the opportunity to haveaccess to administrative or judicial procedures tochallenge acts or omissions by private persons andpublic authorities that violate provisions of nationalenvironmental law.

Assisting governments with drafting amendments tonational laws to establish that NGOs that promoteenvironmental protection and meet requirementsunder national law are deemed to have a sufficientlegal interest, and that would allow private personsand public authorities to challenge acts or omissionsthat violate provisions of national environmental law.

Providing support for NGOs to promote legal educa-tion among the public on available administrativeand judicial procedures for challenging violations ofnational environmental laws.

Providing adequate effective remedies and affordableadministrative or judicial procedures.

Assisting governments with revising available sys-tems of remedies under national laws and developingappropriate assistance mechanisms to remove orreduce financial and other barriers to access to jus-tice.

Danish policy and strengths

The Aarhus Convention is considered to be a very important convention, not least because it pro-motes general democratic principles. A major effort was made to prepare the convention for signingin Aarhus in June 1998, and high priority has since been given to its implementation and ratificationbefore the end of 2000.

Implementation in Denmark has been based on screening a number of national laws and consulta-tions within the ministry and other related ministries. A major conference was held to start-up theimplementation process, and all interested parties were invited to discuss recommendations forDanish implementation. On May 18, 2000, the Danish parliament adopted the new “Aarhus Law”,creating the basis for early ratification on September 29, 2000.

Implementation in Denmark has taken almost two years and has provided useful experience thatwill be extremely relevant for other countries in the CEE and NIS countries of the UNECE regionthat are working on implementing and ratifying the convention. This experience will be particularlyuseful in countries that have yet to ratify the convention.

Moreover, Danish democratic traditions and national laws already recognise the rights guaranteedunder the Aarhus Convention. Since most of the rights guaranteed under the three pillars describedabove are already in practice in Denmark, Danish officials, NGOs and the private consulting sectoralready have first-hand experience of these procedures. This should facilitate the transfer of know-how, including in the NGO sector.

Finally, Danish environmental authorities at national, regional and local levels have already estab-lished extensive systems for gathering and transmitting information to the public, e.g. through websites and Miljøbutikken, the ministry’s Environment Shop. Danish institutions responsible for envi-ronmental research and data gathering also have extensive experience of establishing and operatingenvironmental information systems, indicator and monitoring systems which, based on electronicdata processing and GIS tools, involve the internet and TV and radio for automatically updating and

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disseminating on-line data and pollution warnings. These systems guarantee direct and broad accessto environment and nature data and information. The activities are of great interest to officials inother parts of Europe.

Future strategic initiatives

Future assistance to support the ratification and implementation of the Aarhus Convention is likelyto fall within one or more of the following categories. • Supporting measures aimed at the ratification of or accession to the Aarhus Convention, where

appropriate.• Changing national legal frameworks to ensure compliance with Aarhus Convention require-

ments.• Building the capacity of central and local government agencies to provide information, includ-

ing support for developing information management systems.• Strengthening administrative capacity to implement public participation requirements.• Providing the public and NGOs with information on rights available under the Aarhus Conven-

tion.

Relevant environmental assistance projects

A number of projects have been started to help implement the Aarhus Convention. These projectsfocus on improving the set-up and capacity within central environmental authorities for dealingwith the requirements of the convention, and/or strengthening NGOs and the general public:

Moldova: DANCEE Project Assisting Moldova in the Implementation of the Aarhus Convention

The project will assist the Ministry of Environment and Spatial Planning with honouring the re-quirements set forth in the Aarhus Convention’s first “pillar”, especially Article 5, specifying theobligation to collect and disseminate environmental information. The project includes assistance forthe ministry with establishing an information centre open to the public and a library as well as thecontinuous provision of environmental information in electronic form to authorities and the publicalike. A legal review will be implemented to ensure that Moldovan legislation is geared to imple-menting the three “pillars” of the convention.

Relevant institution/division: DEPA7 (Division for Legislation and Enforcement)

Relevant web site: www.unece.org

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6.1. GLOBAL ENVIRONMENT FACILITY

History

The Global Environment Facility (GEF) was initiated by donor countries in 1991 as a three-yearpilot initiative.

The World Bank, UNDP and UNEP agreed to cooperate as implementing agencies to enhance theglobal environment by protecting biodiversity, combating climate change, protecting internationalwaters and phasing out ozone-depleting substances in Central and Eastern Europe, which are noteligible for funding under the Montreal Protocol. After the Earth Summit in Rio, it was agreed thatthe facility should be restructured and established on a permanent basis and made more participa-tory by involving developing countries in making decisions and implementing projects.

The founding instrument for GEF was agreed in 1994 and establishes GEF as a mechanism forglobal environmental grant and concessional funding to meet agreed incremental costs of measureswithin the four focal areas to benefit the global environment.

Focal areas

The facility operates the financial mechanisms of the UN Conventions on Climate Change andBiological Diversity on an interim basis under the guidance of the Conferences of the Parties. Sup-port for phasing out the use of ozone-depleting substances in Central and Eastern Europe is pro-vided in accordance with the principles of the Montreal Protocol and its amendments. Internationalwaters are defined as inland and coastal waters shared by two or more states. These are not coveredby any global legal instruments, but the facility supports mutual efforts to protect shared rivers,lakes and aquifers, coastal waters and the Washington Plan of Action on the Seas. In addition, GEFhelps to implement the Convention to Combat Desertification by making agreed incremental costsof activities concerning land degradation, primarily desertification and deforestation, eligible forfunding if they relate to the four focal areas. Under the same circumstances, the council may alsoagree to make other relevant activities under Agenda 21 eligible. This is relevant for chemicals. Inthe energy sector, GEF actively seeks to promote energy efficiency and renewable energy.

Funding “agreed incremental costs” to achieve “agreed global environmental benefits” is the core ofGEF’s mission and major efforts have been made to find practical ways of working with these con-cepts in projects, programmes and policies. Estimating incremental costs has caused considerabledifficulty in the cooperation between GEF and the implementing agencies, and with recipient coun-tries and project designers. This is due mainly to the problem of defining national and global bene-fits - not least in biodiversity projects.

An operational strategy has been formulated to guide the actions of the facility and ensure cost-effective use of its resources. The operational strategy defines the mission, strategy and operationalprinciples on which the activities are to be based in the four focal areas and on land degradation.Key features of the strategy include a country-driven approach and the involvement of stakeholders– reflecting the emphasis on consistency with national and regional objectives and initiatives.

The principles of the strategy have been elaborated as 12 operational programmes to guide potentialproject designers:

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• Four programmes on biodiversity based on the ecosystems approach.• Four programmes on climate issues that focus on barriers to energy efficiency and conservation,

promoting renewable energy, reducing costs for low greenhouse gas emitting technologies andpromoting climate-friendly transportation.

• Two programmes on water, one waterbody-based and one contaminant-based.• Two integrated programmes, one addressing land and water, and one on natural resources man-

agement addressing biodiversity and carbon sequestration (climate).The funding of ozone projects has been considered a short-term measure with no need for an opera-tional programme. Work is now underway to prepare an operational programme for agriculturalbiodiversity and a programme to follow up on the Cartagena Protocol on Biosafety. At the sametime, GEF will serve as a major part of the Financial Mechanism of the POP Convention, as de-cided at the INC5 meeting in December 2000.

Organisation

The council, which is responsible for developing policies and programmes, approving projectfunding and supervising their implementation, meets twice a year and consists of 32 members, eachrepresenting a constituency. Sixteen members come from developing countries, fourteen from in-dustrialised countries and two from Central and Eastern Europe and the Russian Federation. Topromote transparency, the NGOs have four observers of their own choice at council meetings andthey hold coordinating sessions before each meeting. The work of the council is supported by a sec-retariat headed by a Chief Executive Officer (CEO). A Scientific and Technical Advisory Panel(STAP), consisting of 12 independent scientists, assists with the continuous development of poli-cies. Every three years, an assembly consisting of all participants is required to review GEF policiesand operations. Only one assembly has been held so far - in Delhi in 1998. The next will be con-vened in 2002 after Rio+10.

Funding

During the pilot phase USD 750 million was allocated to 112 projects in 63 countries. When GEFwas restructured in 1994, USD 2 billion was pledged by 34 nations to support activities. In 1998, afurther USD 2.75 billion was pledged by 36 nations. The third replenishment is due in 2002 and asubstantial increase is expected.

By August 2000, a total of USD 3.1 billion had been allocated to 730 projects, with 39% of thefunding for biodiversity, 35% for climate change, 14% for international waters and 6% for ozone(where no further allocations are needed). Multifocal funding comprised 6%. As projects are coun-try-driven, no decision has been made by the council as to the distribution of funding between focalareas, but climate and biodiversity are the two main areas. For example, national reporting and de-velopment of national strategies under the two conventions are fully financed by GEF.

There is ample opportunity for national and regional co-financing by recipient countries, imple-menting agencies and other international entities and bilateral donors. The co-financing leveragedby GEF funding has been USD 5.6 billion, bringing the total value of projects to which GEF hascontributed to about USD 8.7 billion from 1991 to mid-2000.

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Project administration

It is important to note that GEF does not implement projects, but co-finances the operations of itsthree implementing agencies to reap global benefits. These agencies are accountable to the councilfor their GEF-financed activities. The World Bank has administered 60% of the funds allocated sofar, UNDP 30% and UNEP 4%, while 5% were administered jointly.

The implementing agencies may execute projects themselves or select other entities as responsibleon site. The World Bank uses the Regional Development Banks as executing agencies for many ofits projects. GEF is currently seeking to involve UNIDO and FAO as executing agencies tostrengthen its ability to deliver results on the chemicals agenda. National and international NGOsare working with UNDP to implement projects, and UNDP has a special small-scale grant pro-gramme under GEF to facilitate the speedy execution of minor projects. UNEP’s relatively smallrole is due to its focus on knowledge. It is not a project organisation.

Two general problems seem to characterise GEF-funded projects to date. Firstly, there is the diffi-culty of integrating project activities in national policy frameworks that take broader contextualfactors into account, such as legal and institutional capacity. Secondly, the effective involvement ofstakeholders, nationally and locally, has proven to be a more difficult and lengthy task than initiallyexpected.

In practice, the organisational structure means that the preparation of projects is subject to parallelprocesses of decision making in the GEF Secretariat and council and in the implementing agencies.Considerable effort has been put into streamlining and coordinating the GEF project cycle to suitthe internal procedures of the agencies and to avoid delays. The CEO of GEF has been given a cer-tain margin for making decisions without prior involvement of the council, and quicker procedureshave been established for council decision-making between semi-annual meetings.

Some improvements have been made, but too much time still passes between project formulation,approval by the GEF, the commitment of the implementing agency and actual project implementa-tion. Two years is not unusual, and on average more than a year passes before the World Bank andUNDP commit themselves after GEF approval is obtained. Regarding project preparation, it isworth mentioning that the CEO has the authority to grant funding for developing ideas and propos-als from a very early stage (the Project Preparation Facility, PPF).

All relevant information on GEF - its structure, entities, policies and programmes, project portfolio,performance reports, evaluations and documentation from council meetings can be found at itsinternet home page. The information includes national focal points in member countries, regionalNGO focal points and relevant contact points for implementing agencies.

Relevant web site: http://www.gefweb.org

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6.2. EUROPEAN BANK FOR RECONSTRUCTION AND DEVELOPMENT

The EBRD provides direct financing for private sector activities, restructuring and privatisation aswell as funding for the infrastructure that supports these activities. Its investments also help to buildand strengthen institutions.

The main forms of EBRD financing are loans, equity investments (shares) and guarantees. ProjectSummary Documents (PSDs) are released for public and private sector projects before the project isconsidered by the Board of Directors. PSDs are updated if material changes are made to the projectfollowing first release.

The EBRD places great emphasis on encouraging the involvement of other sources of financing inits operations, thereby increasing the total resources available to its countries of operations. Techni-cal cooperation funds have an important role to play in supporting the EBRD operational objectivesof sound banking, additionality and transition impact. The EBRD functions as the administrator ofthe Nuclear Safety Account (NSA) and the Chernobyl Shelter Fund (CSF).

The EBRD is directed by its agreement to "promote in the full range of its activities environmen-tally sound and sustainable development" (Article 2.1vii). The EBRD is the first international finan-cial institution to have been given such a proactive environmental mandate by its founders.

The EBRD recognises that sustainable development is a fundamental aspect of sound businessmanagement and that the pursuit of economic growth and a healthy environment are inextricablylinked. The bank further recognises that sustainable development must rank among the highest pri-orities of EBRD activities. The bank will endeavour to ensure that its policies and business activi-ties promote sustainable development, meeting the needs of the present without compromisingthose of the future.

The overall mission of the Environmental Appraisal Unit (EAU) is to ensure that projects complywith EBRD commitment to environmentally sound and sustainable development. EAU staff screenand review all investment projects and screen all technical cooperation projects submitted to theEBRD Operations Committee, in compliance with the Bank's Environmental Procedures.

The Project Preparation Committee (PPC) is a networking mechanism established at the Second"Environment for Europe" Ministerial Conference in Lucerne in April 1993 to improve coordina-tion and cooperation between international financing institutions (IFIs), donors and countries intransition to promote environment-related investment projects in Central and Eastern Europe andthe Newly Independent States. The PPC forms an integral part of the Environmental Action Pro-gramme for Central and Eastern Europe (EAP). Specifically, the PPC is a mechanism and marketplace for identifying co-financing arrangements between donors and IFIs, matching donor grantfunds with IFI credits in order to enhance project performance and sustainability. The PPC Secre-tariat is based at the EBRD in London, and officers are designated to implement the PPC mandatecurrently located both at the EBRD and the World Bank.

Relevant web site: http://www.ebrd.com